Morgan Stanley has won its fifth straight arbitration claim from a former advisor arguing its deferred…
Tag: arbitration
Morgan Stanley Wins Deferred Comp Arbitration Case
Morgan Stanley avoided a former advisor’s attempt at retrieving deferred compensation after he left to start…
Investor Advocates Slam SIFMA’s Arbitration Reform Proposals
A public investor advocacy group is lobbying the Financial Industry Regulatory Authority to reject a proposal…
PIABA Criticizes FINRA’s $50M Fee Rebate Amid Unpaid Arbitration Awards
FINRA should have put its $50 million fee rebate for member firms toward investors stuck with…
UBS asks court to quash $1M arb award
UBS is going to court to try to overturn a $1 million arbitration penalty it was…
Weighing the chances of RIA arbitration reform
Investor advocates are cheering an attempt to place stricter limits on how RIAs can use 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…