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Registered Rep. March 1, 2006 John Churchill	To the Bitter End How a veteran Smith Barney broker is fighting to keep deferred compensation after leaving the firm to become an independent RIA.
Registered Rep. July 9, 2003 David A. Gaffen	Score One For Smith Barney In Cap Plan Hearings A superior court judge in California has ruled for Smith Barney in a case related to a deferred compensation plan that has been the subject of several lawsuits from brokers who formerly worked for the firm. The court said the CAP is not unlawful and does not violate labor laws.
Registered Rep. April 27, 2010 Halah Touryalai	Judge Says Citi Brokers Must Repay Bonuses; Appeal Comes Next Former Citigroup brokers, who wanted courts to dismiss debts the firm said they owed on loans awarded when they were hired, were turned down by a district court judge. But they are planning to appeal that decision.
Registered Rep. October 25, 2002 Rick Weinberg	PaineWebber Appeal Rejected by Supreme Court Completing "bucking" its trend of supporting arbitration over litigation, the U.S. Supreme Court rejected a UBS PaineWebber appeal of a decision that the firm claims allows clients to circumvent arbitration agreements they had previously signed.
Registered Rep. June 21, 2007 Christina Mucciolo	Smith Barney Golden Handcuffs Hard to Crack A New Jersey Appellate Court's reversal of a lower court's decision is another notch in Smith Barney's belt.
Registered Rep. March 1, 2010 Halah Touryalai	Bonus Repayment Suit Turns Into Battle Over Forced Arbitration A court case over the repayment of upfront loans to brokers is turning into a legal battle over forced FINRA arbitration.
Registered Rep. September 1, 2004 John Churchill	Handcuffs Made of Gold Deferred-Comp Plans Can be an Advisor's Lucrative Friend... Should I Stay or Should I go?...
Registered Rep. December 20, 2002 Will Leitch	Judge Says CAP Plan Violates Wage Laws Opponents of Salomon Smith Barney's CAP Plan, an unusual deferred compensation plan, have been shot down repeatedly in their attempts to fight the policy on the grounds that it is an illegal withholding of wages. But they might have caught a break.
Registered Rep. March 1, 2003 Will Leitch	CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial.
Registered Rep. November 1, 2002 Gaffen & Weinberg	Brokers React to Citi's Research Move Sallie Krawcheck, former head of independent research firm Sanford C. Bernstein, will head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group. Smith Barney brokers are skeptical, though.
Registered Rep. September 24, 2002 David A. Gaffen	Former Brokers Sue SSB, Grubman, Even Sandy Weill Want $100 Million Each for Wrongful Termination, Defamation Spartis and Elias claim that they were wrongfully fired from their positions in February of this year after the firm, in their eyes, did not adequately represent them in complaints filed by customers related to WorldCom.
On Wall Street November 1, 2011 Lorie Konish	A Foreign Investor Fights To Go To FINRA Arbitration A federal lawsuit recently filed by Citigroup Global Markets Inc. against a set of Saudi family investors with a $383 million claim against the firm will determine whether that case can proceed to arbitration.
Registered Rep. November 1, 2002 David A. Geracioti	Spartis, Elias Each Seek $100M From Smith Barney Spartis and Elias claim they were wrongfully fired in February. They claim that Smith Barney did not adequately represent them in WorldCom-related customer complaints.
Registered Rep. March 15, 2012 Kristen French	Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup.
Registered Rep. October 1, 2002 William A. Jacobson	Deferred Compensation. Whose Money Is It? Deferred compensation plans offer incentives or income tax deferral while motivating the employee to remain at the company. However, the Citigroup Capital Accumulation Plan is facing legal challenges from class action suits in several states.
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. December 4, 2002 Rick Weinberg	Weill Postpones Elimination of Salomon Name Sandy Weill, the chairman of Salomon Smith Barney's parent Citigroup, has informed brokers and other employees that plans to eliminate the Salomon name, a Wall Street hallmark for nearly a century, have been postponed, according to sources.
Registered Rep. October 1, 2002 Rick Weinberg	Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client.
Registered Rep. July 27, 2005 Kristen French	NASD Sanitizes Arbitration Panel: Public Arbitrators Must Be Public Securities arbitration panels, which resolve the vast majority of investment disputes between clients and brokers, are typically made up of two public arbitrators and one industry arbitrator, a system that is intended to tip the scales in favor of the public.
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?
Registered Rep. October 1, 2002 Betsy Riley	...Especially if They Foot the Bill It's not unusual for firms that settle arbitration cases to make the broker involved in the accusations pay part of the bill, even if the rep isn't specifically named in the case. What options does the broker have?
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.
Registered Rep. August 26, 2003 David A. Gaffen	Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting A million dollars. That's the amount brokerage firm Smith Barney agreed to pay in a settlement with the New York Stock Exchange in an investigation of improper conduct at an Atlanta branch of the firm related to WorldCom employee/shareholders.
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.
Registered Rep. May 7, 2007 Christina Mucciolo	Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup.
BusinessWeek June 22, 2011 Greg Stohr	Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation.
Registered Rep. April 18, 2007 Halah Touryalai	Chuck Prince: Smith Barney Goin' Nowhere Citigroup's CEO has been at the center of company news recently with his plans to cut costs including last week's announcement of about 17,000 job cuts. That cut may affect over 100 Smith Barney employees and about 30 advisors.
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.
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
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.
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.
Investment Advisor May 2007	The U.S. Court of Appeals Decision A PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling on the Financial Planning Association vs. The Securities and Exchange Commission.
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?
Registered Rep. December 1, 2004 David A. Gaffen	Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices.
Entrepreneur December 2005 Chris Penttila	Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?
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.
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.
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. 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.
Registered Rep. March 1, 2007 John Churchill	Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper.
Job Journal December 7, 2003 Michael Kinsman	The Arbitration Option More and more workplace disputes are going to arbitration.
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. February 26, 2008 David Geracioti	The Arbitration Debate Continues A new study suggests that unless you work on Wall Street, you probably don't think arbitration is very fair.
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. 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.
The Motley Fool August 24, 2009 Morgan Housel	Understanding Citigroup Citigroup's stock will be highly diluted when the preferred shares convert to common, and it has a lot of problems compared to other banks with similar market cap.
Fast Company Neal Ungerleider	Apple To Pay $450 Million In Settlement For Price Fixing E-Books The Second U.S. Circuit Court of Appeals in Manhattan voted 2-1 on Tuesday not to overturn a July 2013 ruling that found Apple had fixed e-book prices in collusion with five major publishing houses.
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.
The Motley Fool September 18, 2009 Morgan Housel	Citigroup Hates Its Profitable Assets With Smith Barney divested, shareholders may wonder where profits will come from.
Registered Rep. April 1, 2003 David A. Gaffen	Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night.