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An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.
April 11 -
The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.
April 4 -
In a case with industry-wide implications, PKS Investments argues that a Utah couple cannot pursue damages against the brokerage through FINRA arbitration.
January 9 -
The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.
November 15William S. Boyd School of Law, University of Nevada, Las Vegas -
Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.
October 5Public Investors Advocate Bar Association -
The federal court decision ended a former Chase branch-based advisor's saga of a half dozen years after the firm alleged he broke its rules for notarizing documents.
September 19 -
After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.
July 25 -
Financial advisor Mark J. Dickman had filed his FINRA arbitration case against the firm and officials with Independent Advisor Alliance nearly four years ago.
July 24 -
In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.
July 10 -
More than 60% of registered investment advisory firms force complaints into forums that cost more and may give them fewer rights than FINRA, the regulator said.
June 29