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Registered Rep.
August 1, 2005
Bill Singer |
The High Price of Foot Dragging Contesting arbitrations is often a smart move -- especially for financial reps who believe they were unjustly accused or that the settlement demanded by the customer is excessive.   |
On Wall Street
November 1, 2009
Thomas Lewis |
It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes. |
Registered Rep.
October 17, 2011
Patrick J. Burns |
Don't Ignore That Promissory Note One of the trickiest components when it comes to a broker's departure from a wirehouse firm is how to handle the promissory note. |
Registered Rep.
May 1, 2006
French & Palmer |
The Argument Over Arbitration While investment-related arbitrations are supposed to be cheaper and more expeditious than trials in civil court, many say that these advantages have diminished in recent years, and that all too often the proceedings just look like outtakes from The Gong Show. Is there a better way? |
On Wall Street
September 1, 2008
Alan J Foxman |
Court or Arbitration Sexual harassment claims can go to court under FINRA's rules, but some employment contracts call for arbitration... If I leave my firm can they get an injunction preventing me from taking my clients? Can this go to arbitration? |
Registered Rep.
August 16, 2006
Karen Donovan |
Put It in Writing: Investors Want Arbitrators to Explain Their Awards Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule -- which would give them the option of demanding written explanations from arbitration panels that hear their disputes against brokerage houses -- will take effect soon. |
On Wall Street
August 1, 2012
Alan J. Foxman |
FINRA's New Suitability Rule I'm a compliance officer for a small brokerage firm. I'm a little confused by FINRA's new suitability rule. What, if anything, extra does it require us to do? |
Registered Rep.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
Investment Advisor
December 2007
Thomas D. Giachetti |
Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right. |
Registered Rep.
February 11, 2010
Halah Touryalai |
Victory For Broker in Citi Bonus Repayment Case A former Citi broker doesn't have to pay back the full amount owed on his sign-on bonus, a FINRA arbitration panel rules. |
On Wall Street
October 1, 2008
Elizabeth Wine |
Jury of Their Peers Under a new arbitration program, investors will be able to choose to air complaints to a panel of regular people, without the token industry insider. So why are both sides of this issue unhappy with the plan? |
Registered Rep.
September 1, 2005
Greg Bailey |
The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists. |
BusinessWeek
August 16, 2004
Emily Thornton |
The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back. |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Registered Rep.
April 1, 2005
Richard A. Roth |
Keep It Dark Though one function of the NASD is to police its member firms and protect investors, another of its functions is to provide a fair and just arbitration forum for dispute resolution. The NASD should protect the sanctity of the process by ensuring that all parties are treated equally and fairly. |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
On Wall Street
October 1, 2009
Alan J. Foxman |
Crossing the Line in Your Relationships with Clients Q&A: What privileges can a firm give a client?... Can a financial advisor borrow money from a bank that is a client?... Arbitration claims about promissory note... Must I tell my employer annuities I've sold through a third-party vendor?... |
Entrepreneur
August 2007
Laurel Delaney |
Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes. |
Registered Rep.
September 17, 2003 |
NASD to Sawtelle: You Still Get $25M An arbitration panel has done what it was asked: to reconsider the $25 million in damages awarded to former Waddell & Reed broker Stephen Sawtelle. Their decision? Sawtelle should still get the money, according to a decision reached Sept. 4. |
On Wall Street
August 1, 2009
Helen Kearney |
Death Knell for Mandatory Arbitration The meltdown on Wall Street, along with the raft of Ponzi schemes, have created a renewed regulatory zeal on the part of the government towards financial advisors. This all begs a major question: Is this the end of mandatory arbitration? |
On Wall Street
October 1, 2009
Judith Schoolman |
Five Questions with Brian Smiley Brian Smiley is president of the PIABA, which promotes the interests of investors involved in arbitration disputes against brokerage firms. In this short interview he speaks about his group's goals and why he's been so busy. |
Registered Rep.
January 1, 2007
Karen Donovan |
Fix Arbitration Now Here are three problems that lawyers who struggle with the securities industry's arbitration system say they confront on a routine basis. For the most part, the lawyers for customers and those who represent the industry have radically different views on how to fix the system. |
Registered Rep.
March 1, 2006 |
Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc. |
Registered Rep.
February 10, 2012
Diana Britton |
Yield of Dreams: Son Chronicles Battle with Father for Family's Firm Tread lightly on bringing family into the business, because blood only runs so deep. |
On Wall Street
March 1, 2011
Lorie Konish |
All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations. |
On Wall Street
July 1, 2009
Alan Foxman |
Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered. |
Registered Rep.
September 15, 2009
John Churchill |
Victims of Florida Broker Gary Gross Get $7million The plaintiffs' attorneys are calling the award one of the biggest FINRA awards ever against an individual broker. |
Commercial Investment Real Estate
Mar/Apr 2004
John A. Sherrill |
Legal Briefs Commercial real estate companies are turning to alternative dispute resolution to solve disagreements with partners, suppliers, customers, and other professionals with whom they have contractual relationships. |
On Wall Street
June 1, 2011
Alan J. Foxman |
Arbitration Station Advisor Q&As: Promissory notes... Do tax liens need to be reported on Form ADV? |
Registered Rep.
July 23, 2007
Kevin Burke |
Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer. |
BusinessWeek
August 13, 2007
Lewis Braham |
Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall. |
Registered Rep.
November 1, 2002
Carol X. Vinzant |
Law & Order: Client-Broker Disputes The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is the broker. |
On Wall Street
June 1, 2009
Alan J. Foxman |
Anyone Around Here Know a Good Lawyer? Financial advisors ask their legal questions. |
Registered Rep.
January 27, 2012
Kristen French |
Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes. |
Registered Rep.
January 8, 2009 |
Motion To Dismiss In Arbitration? Not So Fast. Firms and advisors facing disputes in arbitration will have a tougher time getting the case dismissed thanks to a new dispute resolution rule, FINRA announced today. |
Registered Rep.
September 25, 2007
Karen Donovan |
Expunging Customer Complaints Is Too Easy . . . So Say Client Lawyers The lobbying group of lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to "immediately halt" the practice that allows arbitration panels to expunge customer complaints from a rep's record. |
Registered Rep.
January 1, 2003
Jonathan P. Arfa |
Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work. |
Registered Rep.
February 1, 2003
Ross Tucker |
Legal Briefs? Not In 2002 Well before the year ended, 2002 was poised to set NASD arbitration records -- but not the kind of records many would be proud of. |
Registered Rep.
May 13, 2011
Bill Singer |
Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again. |
On Wall Street
December 1, 2008
Alan J Foxman |
Sipc Insures Select Cases Brokers are unsure what to tell clients about SIPC coverage, as well as the rationale on arbitration disputes. |
Registered Rep.
September 1, 2005 |
Expunge Bath I received customer letters, written after a nasty falling-out, that my firm said would appear on my internal U4, but not my public statement. Am I forever marked up, or can I get the letters off my record?... |
The Motley Fool
October 5, 2007
Selena Maranjian |
Credit Card Fine Print Can Cost You Be careful, or you may end up ensnared by credit card arbitration. A recent study in California showed in 95% of these arbitration cases, the consumer lost. What can you do about this? |
Entrepreneur
October 2003
Jane Easter Bahls |
Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement? |
Registered Rep.
January 27, 2004
John Churchill |
New Rule Makes Clearing Your Record Harder Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult. |
Registered Rep.
December 20, 2005
Halah Touryalai |
Broker Cleans Up Millions From Dirty Campaign Charges A broker won nearly $10 million from his former employer, Waddell & Reed, last week -- six years after first suing the broker/dealer for smearing his reputation and eight years after being fired in the wake of his testifying against the firm at an SEC hearing. |
Registered Rep.
August 9, 2006
Kristen French |
NYSE Reg to Streamline Arbitration: Proposes One Arbitrator for Cases Under $200,000 The arbitration system has been under fire lately for being costly, slow and skewed in favor of the industry. This new proposal will help to alleviate those concerns. |
Registered Rep.
October 1, 2004 |
When the Loan Comes Due I switched firms three years ago, joining a wirehouse offering a seven-year forgivable loan as upfront payment. Since hiring on at the new firm, my production has nosedived. If I am fired, can my firm legally ask for the balance of the forgivable loan back? |
Registered Rep.
August 1, 2006
Gary Weiss |
Institutionalized Unfairness Here the author of Wall Street Versus America discusses how the mandatory arbitration of customer disputes must be made to go away. And not just because it hurts financial advisory customers. It hurts the financial advisor equally. |
Entrepreneur
December 2005
Chris Penttila |
Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs? |
