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Tagged with "arbitrators"

Former Registered Rep Wins FINRA Arbitration Expungement of Defamatory Language on His CRD Record

Posted on February 10th, 2017 at 4:50 PM
Former Registered Rep Wins FINRA Arbitration Expungement of Defamatory Language on His CRD Record

Eccleston Law LLC is pleased to announce that its client’s Central Registration Depository (CRD) and BrokerCheck record will be expunged of references to a baseless customer complaint filed against him and his former firm. 

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FINRA Updates Arbitration Panel Selection Procedures

Posted on January 4th, 2017 at 9:31 AM
FINRA Updates Arbitration Panel Selection Procedures

New FINRA Rule 12403 gives parties more prospective arbitrators to choose from in selecting their panels. 

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Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

Posted on December 22nd, 2016 at 10:32 AM
Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

A Finra arbitration panel awarded $417,000 to a registered representative this week after finding she was wrongfully fired and defamed by her former firm.

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Latest Articles
FINRA Suspends Former Stifel Advisor for UIT Violations
November 25th, 2020 at 2:30 PM
JPMorgan Chase Bank Agrees to Pay $250 Million Fine
November 24th, 2020 at 3:07 PM
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