InvestmentNews (February 10, 2022) - Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., asked how arbitrators were chosen and whether the firm influenced the selection.
Senate and…
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In the Media
Financial Planning (February 8, 2022) - As FINRA prepares to implement a new rule that takes aim at firms with a “significant history of misconduct,” lawyers, investor groups and others within the…
National Law Review (February 7, 2022) - WHAT YOU NEED TO KNOW IN A MINUTE OR LESS
The New York Convention typically requires U.S. courts to enforce written arbitration agreements covering…
The Wall Street Journal (February 3, 2022) - A Georgia judge said the bank and its lawyer secretly manipulated a list of potential arbitrators
A Georgia judge questioned the fairness of the…
Financial Advisor IQ (February 3, 2022) - The Public Investors Advocate Bar Association is calling for an investigation of the Financial Industry Regulatory Authority’s arbitration process after a…
Georgia Court Vacates FINRA Award, Decrying 'Secret Agreement' With Wells Fargo, By Patrick Donachie
Wealth Management (February 3, 2022) - The Superior Court in Fulton County, Ga., overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators…
Financial Advisor (February 2, 2022) - In a case that has widespread ramifications for both the Financial Industry Regulatory Authority’s arbitration forum and Wells Fargo, the Fulton County Superior…
InvestmentNews (February 2, 2022) - At the center of the judge's order to vacate the arbitration decision were questions about whether or not Finra arbitration was a neutral forum for investors.
A…
Financial Planning (February 2, 2022) - Former Wells Fargo clients who accused the bank and its Wall Street regulator of making a secret deal involving the selection of FINRA arbitrators won a…
AdvisorHub (February 2, 2022) - (Updated with statement from Finra spokeswoman.)
In a rare decision overturning an arbitration award, a Georgia state court judge vacated a 2019 decision in which…