Investor advocates are cheering an attempt to place stricter limits on how RIAs can use arbitration…
Tag: arbitration
SEC Committee Recommends Reforms for RIA Mandatory Arbitration Clauses
An SEC committee is recommending that the regulator “harmonize” its rules regarding mandatory arbitration clauses between…
UBS fined for broker’s firing
UBS is on the hook for $1 million after a FINRA arbitration panel found it wrongfully…
PIABA decries new FINRA arbitrator criteria
Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved…
How departing financial advisors can avoid lawsuits
This story is the third in a series Financial Planning Chief Correspondent Tobias Salinger is writing…
Binance wants arbitration for all members of securities class suit
Crypto exchange Binance has asked a US federal judge to send all members of a class-action…