Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…
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In the Media
Financial Advisor (June 29, 2022) - There are no secret deals or “improper agreements” to remove possibly prejudiced arbitrators from Financial Industry Regulatory Authority arbitration panels,…
FinancialPlanning (June 29, 2022) - There was no “secret agreement” between Wells Fargo’s attorney and FINRA that improperly removed a potential arbitrator from a client complaint case at his request…
Wealth Management (June 29, 2022) - FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude…
ThinkAdvisor (June 29, 2022) - What You Need to Know
A review found no evidence of an improper agreement to remove certain arbitrators from arbitration cases.
Lowenstein said it does not believe…
AdvisorHub (June 29, 2022) - The outside law firm that the Financial Industry Regulatory Authority’s audit committee hired to review its arbitration process has rejected allegations about an improper…
Financial Planning (June 28, 2022) - A midsize wealth manager that’s under new ownership after a compliance overhaul agreed to its second major FINRA settlement this year relating to sales of…
AdvisorHub (June 10, 2022) - A three-judge panel of the Court of Appeals of the State of Georgia showed skepticism about a trial court’s controversial ruling in January that vacated a 2019…
AdvisorHub (June 7, 2022) - After beating back a $9.3 million claim from an investor in arbitration, UBS Financial Services has asked a court to hold them liable for its nearly $1 million in attorney…
Financial Advisor IQ (May 25, 2022) - The rule makes it unethical or dishonest to fail to pay arbitration awards or monetary penalties ordered by regulators.
The North American Securities…