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On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
Job Journal December 7, 2003 Michael Kinsman	The Arbitration Option More and more workplace disputes are going to arbitration.
Registered Rep. October 1, 2002 Rick Weinberg	Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client.
Registered Rep. December 18, 2002 Rick Weinberg	Supreme Court Favors Arbitration in Brokerage Cases The Supreme Court has reaffirmed its stance that the arbitration forum is the proper venue for deciding brokerage cases.
Registered Rep. October 4, 2006 John Churchill	Citigroup Wins Long, Strange CAP Battle After going two for three in a unique tug of war involving both the arbitration and court systems, former Smith Barney broker James McCarthy is likely throwing in the towel in his three-year fight for the money left in his deferred-compensation plan.
On Wall Street August 1, 2009 Helen Kearney	Death Knell for Mandatory Arbitration The meltdown on Wall Street, along with the raft of Ponzi schemes, have created a renewed regulatory zeal on the part of the government towards financial advisors. This all begs a major question: Is this the end of mandatory arbitration?
Commercial Investment Real Estate Sep/Oct 2015 Mike Newhouse	Splitting Fees It's agent vs. agent when it comes to commission disputes.
Registered Rep. December 11, 2002 Rick Weinberg	PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well.
Registered Rep. April 1, 2005 Richard A. Roth	Keep It Dark Though one function of the NASD is to police its member firms and protect investors, another of its functions is to provide a fair and just arbitration forum for dispute resolution. The NASD should protect the sanctity of the process by ensuring that all parties are treated equally and fairly.
Registered Rep. October 1, 2002 Ross Tucker	Payback Time During the heady days of the bull market brokers found themselves lured to other firms by big upfront bonuses, in the form of forgivable loans. Unable to maintain prior production rates under worsening market conditions, many have lost their jobs and their clients. Now their firms want to collect on those loans.
Entrepreneur December 2005 Chris Penttila	Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
Entrepreneur October 2003 Jane Easter Bahls	Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement?
BusinessWeek June 22, 2011 Greg Stohr	Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation.
Registered Rep. October 21, 2002	Accused Rogue Broker Puts UBS PaineWebber Under Scrutiny How did a broker get away with his alleged thieving? The Massachusetts Securities Division is investigating UBS PaineWebber's supervisory and compliance procedures in connection with allegations of a broker stealing more than $4 million from clients, according to the state's Securities Division.
Registered Rep. November 1, 2002 Rick Weinberg	All in the Family Cases of brokers stealing from their clients are not unheard of. But, according to the Massachusetts Securities Division, a UBS PaineWebber broker gave the old crime of embezzlement a new twist.
Registered Rep. August 16, 2006 Karen Donovan	Put It in Writing: Investors Want Arbitrators to Explain Their Awards Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule -- which would give them the option of demanding written explanations from arbitration panels that hear their disputes against brokerage houses -- will take effect soon.
Registered Rep. October 24, 2007 Karen Donovan	Arbitration Works, Says SIFMA; No It Doesn't, Says PIABA The Securities Industry and Financial Markets Association released a "white paper" today about how well the mandatory arbitration system works. SIFMA is trying to steal the thunder of the plaintiffs' bar, which is pushing Congress to nullify agreements to arbitrate in customer contracts.
On Wall Street September 1, 2008 Alan J Foxman	Court or Arbitration Sexual harassment claims can go to court under FINRA's rules, but some employment contracts call for arbitration... If I leave my firm can they get an injunction preventing me from taking my clients? Can this go to arbitration?
Investment Advisor December 2007 Thomas D. Giachetti	Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.
On Wall Street October 1, 2009 Judith Schoolman	Five Questions with Brian Smiley Brian Smiley is president of the PIABA, which promotes the interests of investors involved in arbitration disputes against brokerage firms. In this short interview he speaks about his group's goals and why he's been so busy.
Registered Rep. April 27, 2010 Halah Touryalai	Judge Says Citi Brokers Must Repay Bonuses; Appeal Comes Next Former Citigroup brokers, who wanted courts to dismiss debts the firm said they owed on loans awarded when they were hired, were turned down by a district court judge. But they are planning to appeal that decision.
BusinessWeek November 18, 2010 Greg Stohr	Wal-Mart vs. a Million Angry Women Wal-Mart wants the Supreme Court to block a huge gender-bias suit.
Registered Rep. April 1, 2003 David A. Gaffen	Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night.
Registered Rep. August 1, 2006 Gary Weiss	Institutionalized Unfairness Here the author of Wall Street Versus America discusses how the mandatory arbitration of customer disputes must be made to go away. And not just because it hurts financial advisory customers. It hurts the financial advisor equally.
BusinessWeek August 16, 2004 Emily Thornton	The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back.
BusinessWeek August 13, 2007 Lewis Braham	Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall.
Registered Rep. February 26, 2008 David Geracioti	The Arbitration Debate Continues A new study suggests that unless you work on Wall Street, you probably don't think arbitration is very fair.
Inc. February 2004 Lora Kolodny	A Win for Arbitration, But Do You Ultimately Lose? Surprising news about arbitration. Is arbitration better and cheaper than litigation?
Registered Rep. August 1, 2005 Bill Singer	The High Price of Foot Dragging Contesting arbitrations is often a smart move -- especially for financial reps who believe they were unjustly accused or that the settlement demanded by the customer is excessive.
Registered Rep. October 1, 2002 David A. Gaffen	Chung Wu Sues PaineWebber Over Firing Chung Wu, the former UBS PaineWebber broker who was fired after sending e-mails in August 2001 suggesting clients sell Enron stock, has sued PaineWebber.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
Registered Rep. December 29, 2009 Halah Touryalai	Principal-Protected Notes Not So Protected, FINRA Says. In a regulatory notice this month, FINRA warned firms offering structured products not to overstate their level of protection or their potential returns.
The Motley Fool June 20, 2011 Alyce Lomax	Wal-Mart's Still Courting Problems The Supreme Court has sided with Wal-Mart, but what about the court of public opinion?
Registered Rep. January 27, 2004 John Churchill	New Rule Makes Clearing Your Record Harder Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult.
Registered Rep. October 1, 2002 Betsy Riley	...Especially if They Foot the Bill It's not unusual for firms that settle arbitration cases to make the broker involved in the accusations pay part of the bill, even if the rep isn't specifically named in the case. What options does the broker have?
The Motley Fool October 19, 2006 S.J. Caplan	When Brokers Break the Rules Investors do have some recourse if they feel they've been duped, and that recourse is on sale this month.
Managed Care June 2002 Bob Carlson	First Business, Now Health Care: Signing Away One's Right To Sue More and more, mandatory arbitration clauses are surfacing in agreements between businesses and individuals. Will the line be drawn at managed care?
Registered Rep. November 1, 2004	The Fear of Pursuit Nonsolicitation agreements are commonplace in the brokerage industry. However, if you change firms and choose to contact clients, whether you will be pursued is a business decision that your former firm would have to make.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
BusinessWeek May 12, 2011 Tim Jones	Secret Cash Dominates in State Court Races Unidentified contributors are pumping big money into key races.
Registered Rep. November 12, 2002 Rick Weinberg	UBS PaineWebber to Hire 500 Brokers UBS PaineWebber Chairman Joseph Grano announced that the firm is going to hire up to 500 brokers during the next year.
Registered Rep. January 1, 2003 Jonathan P. Arfa	Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work.
Registered Rep. May 1, 2006 French & Palmer	The Argument Over Arbitration While investment-related arbitrations are supposed to be cheaper and more expeditious than trials in civil court, many say that these advantages have diminished in recent years, and that all too often the proceedings just look like outtakes from The Gong Show. Is there a better way?
Registered Rep. May 13, 2011 Bill Singer	Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again.
Registered Rep. January 27, 2012 Kristen French	Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes.
CFO August 1, 2012 Vincent Ryan	High Court Upholds Health-Care Reform The Supreme Court's ruling leaves companies with decisions to make.
Registered Rep. March 1, 2006	Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc.
Registered Rep. January 8, 2009	Motion To Dismiss In Arbitration? Not So Fast. Firms and advisors facing disputes in arbitration will have a tougher time getting the case dismissed thanks to a new dispute resolution rule, FINRA announced today.
Investment Advisor September 2009 Thomas D. Giachetti	Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration.