Financial Advisor (May 18, 2020) - While Finra arbitration filings have already risen 14% this year, that is just the tip of the iceberg of customer cases the industry can expect as fallout from the…
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In the Media
InvestmentNews (May 13, 2020) - In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say
Arbitration lawyers appear reluctant to try their…
Financial Advisor IQ (May 12, 2020) - Pre-pandemic 2020 was shaping up as an unremarkable year for Finra arbitration disputes between clients and broker-dealers, according to the most recent…
Financial Advisor (May 11, 2020) - Registered reps who have been barred from the securities or been the subject of other disciplinary actions are able to continue working without restrictions if they…
AdvisorHub (April 29, 2020) - PIABA, the trade association founded 30 years ago by lawyers representing investors in securities arbitrations against firms and brokers, is taking “arbitration” out of…
InvestmentNews (March 16, 2020) - The broker-dealer regulator said it is taking action ‘in the interest of public safety’
Finra has postponed all in-person arbitration and mediation proceedings…
Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…
Financial Advisor IQ (February 13, 2020) - Investors have pressed courts recently to approve class actions against Raymond James and Edward Jones based on reverse churning allegations.
But no court…
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards.
The proposal would amend rules on…
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers
Finra is proposing to assess…