Tagged with "Federal Judge"

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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Federal Judge Grants Class Certification in ERISA Suit Against Deutsche Bank

Posted on October 4th, 2017 at 10:15 AM
Federal Judge Grants Class Certification in ERISA Suit Against Deutsche Bank

A New York federal judge has granted class certification for an Employee Retirement Income Security Act (ERISA) case involving all participants of a Deutsche Bank Americas Holding Corp. 401(k) plan whose individual accounts suffered losses.  

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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.