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Tagged with "arbitration"

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FINRA Sees Increase in Intra-Industry Arbitration Claims

Posted on June 1st, 2020 at 2:18 PM
FINRA Sees Increase in Intra-Industry Arbitration Claims

Industry arbitrations filed in the first four months of 2020 increased 27% compared to the same time period in 2019, according to statistics provided by the Financial Industry Regulatory Authority (“FINRA”). Through the first four months of 2020, FINRA has had 569 industry arbitrations, compared to 447 such arbitrations during the first four months of 2019.  Conversely, customer arbitration claims filed against brokerages over the first four months of 2020 have decreased by 7% compared to the first four months of 2019.  Many expect that the COVID-19 pandemic eventually will lead to an increase in investor arbitrations as well.

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Wells Fargo ‘fabricated’ investigation into advisors, arbitration panel says

Posted on January 22nd, 2020 at 4:34 PM
Wells Fargo ‘fabricated’ investigation into advisors, arbitration panel says

Three former Wells Fargo advisors’ termination records must be expunged after the firm “fabricated investigatory findings” and ousted them, an arbitration panel ruled this month.

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FINRA Arbitration Panel Dismissed TRO Against Former Edward Jones Broker

Posted on December 12th, 2019 at 2:13 PM
FINRA Arbitration Panel Dismissed TRO Against Former Edward Jones Broker

The Financial Industry Regulatory Authority (“FINRA”) arbitration panel recently dismissed a temporary restraining order (“TRO”) against a former Edward Jones broker who initially agreed to the TRO prohibiting him from telling customers about his move to Ameriprise.

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Sued by Schwab, axed by Morgan Stanley: A $750M team’s troubled career move

Posted on April 25th, 2019 at 4:32 PM
Sued by Schwab, axed by Morgan Stanley: A $750M team’s troubled career move

A rough four weeks for a $750 million team ended with the advisors out of a job and barred from soliciting their clients.

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Why Financial Advisors Should Hire an Attorney if Named in FINRA Arbitration Claim

Posted on March 19th, 2019 at 4:32 PM
Why Financial Advisors Should Hire an Attorney if Named in FINRA Arbitration Claim

In a recent article in Financial Planning, Alan J. Foxman highlights several important reasons why financial advisors named in an arbitration claim should hire their own attorney instead of using the firm’s in-house or outside law firm counsel.

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Federal Judge Denies Wells Fargo’s Attempt to Quash Class-Action Arbitration Claim for Overtime Pay

Posted on January 22nd, 2019 at 11:00 AM
Federal Judge Denies Wells Fargo’s Attempt to Quash Class-Action Arbitration Claim for Overtime Pay

A New York federal judge has denied Wells Fargo Advisors’ attempt to vacate a ruling from an American Arbitration Association (AAA) arbitrator that a punitive class-action lawsuit involving unpaid overtime could proceed in arbitration.

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Morgan Stanley Attempts to Compel Terminated Advisor into Arbitration for the Third Time

Posted on September 10th, 2018 at 5:04 PM
Morgan Stanley Attempts to Compel Terminated Advisor into Arbitration for the Third Time

According to a recent court filing, Morgan Stanley is attempting for the third time to force private arbitration against a former advisor who filed a wrongful termination lawsuit against the firm last December in New Jersey federal court.

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James Eccleston Shares His Thoughts OnWallStreet

Posted on December 22nd, 2016 at 9:42 AM
James Eccleston Shares His Thoughts OnWallStreet

Recently, James Eccleston shared his thoughts on the battle some advisers face when choosing to represent themselves against experienced corporate attorney's. 

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Former Morgan Stanley Advisor Wins $150K for Emotional Distress

Posted on December 17th, 2014 at 2:08 PM
Former Morgan Stanley Advisor Wins $150K for Emotional Distress

A former Morgan Stanley advisor won $150,000 in damages for the manner in which his employment was terminated in a FINRA arbitration.

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FINRA Fines Ameriprise for Arbitration Discovery Abuse

Posted on December 11th, 2014 at 11:07 AM
FINRA Fines Ameriprise for Arbitration Discovery Abuse

FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding.

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Page 1 of 1
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