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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.
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
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.
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. 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.
Investment Advisor December 2007 Thomas D. Giachetti	Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.
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.
Entrepreneur December 2005 Chris Penttila	Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?
Managed Care June 2002 Bob Carlson	First Business, Now Health Care: Signing Away One's Right To Sue More and more, mandatory arbitration clauses are surfacing in agreements between businesses and individuals. Will the line be drawn at managed care?
Investment Advisor September 2009 Thomas D. Giachetti	Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration.
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. 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.
Investment Advisor July 2007 Melanie Waddell	Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients.
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.
Job Journal December 7, 2003 Michael Kinsman	The Arbitration Option More and more workplace disputes are going to 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.
The Motley Fool October 24, 2007 Selena Maranjian	Mandatory Arbitration Stinks Read the fine print. The people who decide how to resolve your disputes with your homebuilder might not be so impartial.
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 August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
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. 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.
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.
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.
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.
Inc. February 2004 Lora Kolodny	A Win for Arbitration, But Do You Ultimately Lose? Surprising news about arbitration. Is arbitration better and cheaper than litigation?
On Wall Street April 1, 2013 Alan J. Foxman	Debunking Arbitration Rules Our legal expert discusses whether brokerage firms have to report arbitration actions against them.
Registered Rep. May 1, 2008 Karen Donovan	The Clean Slate Club If a proposed new FINRA rule is adopted by the SEC, reps may find it harder to get potentially frivolous customer complaints wiped clean from their U4s.
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. 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. 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.
Registered Rep. July 25, 2006 Tami Kamin-Meyer	One Class Act You Don't Want To Get In On Financial advisors, beware. If you transfer assets belonging to a number of your clients without their authorization -- even if you've done so in anticipation of a downturn in the market -- your next stop won't necessarily be an arbitrator's table. It could be a court of law.
Inc. June 2005 Dimitra Kessenides	Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration.
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.
Registered Rep. June 1, 2005	The Cost of Compliance Q: My current firm recently hired a non-licensed wholesaler to begin marketing our mutual fund family. What liability do I have, given that the wholesaler is not licensed?
Registered Rep. March 5, 2003 David A. Gaffen	Florida to Out-of-State Lawyers: Just Kidding Lawyers from other states are currently not prohibited from dealing with arbitration disputes in Florida, as was originally feared by many attorneys, and should be able to resume handling cases without having a Florida-based lawyer involved.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
Entrepreneur October 2003 Jane Easter Bahls	Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement?
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?
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?
Financial Planning June 1, 2013 Miriam Rozen	How to Hire a Good Lawyer Finding the right attorney requires research, time, thought - and sometimes a dose of bravery.
Registered Rep. January 1, 2005 Will Leitch	Not in New York, New York Though no other major financial firm specifically requires all arbitrations to be subject to New York law, experts say most cases are handled under those rules anyway.
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. 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.
The Motley Fool October 19, 2006 S.J. Caplan	When Brokers Break the Rules Investors do have some recourse if they feel they've been duped, and that recourse is on sale this month.
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. 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.
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.
Commercial Investment Real Estate Nov/Dec 2011 Thomas E. Gibbs	Avoidance Behavior Learn to resolve disputes before they occur. Mediation, arbitration, and other forms of alternative dispute resolution have become a favorable choice in today's commercial real estate market.
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.
Registered Rep. March 3, 2003 David A. Gaffen	In Florida Arbitration, Out-of-State Lawyers Must Pass Florida Bar Wall Street just developed a headache the size of Florida. Basically, any firm that uses out-of-state lawyers (from the home office, for example) to represent the firm in Florida-based cases will now have to use Florida-licensed lawyers.