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Registered Rep.
October 14, 2002
Rick Weinberg |
Small Investors Ding Pru for $260 million. One of largest awards for small investors ever in case of broker The class-action suit claimed that Prudential broker Jeffrey Pickett sold his clients' shares without authorization in 1998.   |
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.
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. |
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? |
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.
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. |
Financial Planning
June 1, 2013
Miriam Rozen |
How to Hire a Good Lawyer Finding the right attorney requires research, time, thought - and sometimes a dose of bravery. |
Registered Rep.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
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.
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. |
Registered Rep.
September 19, 2006
John Churchill |
Merrill's O'Neal to Be Deposed for Discrimination Suit Stanley O'Neal, chairman and CEO of Merrill Lynch, will be deposed as part of the discovery phase in a race-discrimination suit filed by one of the firm's black brokers. |
Registered Rep.
July 27, 2005
Kristen French |
NASD Sanitizes Arbitration Panel: Public Arbitrators Must Be Public Securities arbitration panels, which resolve the vast majority of investment disputes between clients and brokers, are typically made up of two public arbitrators and one industry arbitrator, a system that is intended to tip the scales in favor of the public. |
Registered Rep.
March 1, 2010
Halah Touryalai |
Bonus Repayment Suit Turns Into Battle Over Forced Arbitration A court case over the repayment of upfront loans to brokers is turning into a legal battle over forced FINRA arbitration. |
BusinessWeek
March 24, 2011
Greg Stohr |
Wal-Mart Faces the Big Box of Bias Suits A Supreme Court review of a massive gender discrimination suit against Wal-Mart could usher in new rules regarding class actions. |
Pharmaceutical Executive
September 1, 2005 |
Legal: Jumping the Pond Class-action lawsuits are commonplace in the United States. Now, aggregate litigation is a looming threat in Europe. |
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. |
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.
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.
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.
March 1, 2003
David A. Geracioti |
In the Crosshairs An army of lawyers are about ready to file suits on behalf of aggrieved retail investors who claim to have lost money because of the conflict-of-interest scandal. |
Registered Rep.
March 28, 2011
Diana Britton |
Securities America Nears Resolution With Plaintiffs Securities America has made "substantial progress" in its mediation with plaintiffs' attorneys involved in class action suits against the independent broker/dealer. |
Registered Rep.
November 1, 2002
Carol X. Vinzant |
Law & Order: Client-Broker Disputes The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is the broker. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
Registered Rep.
March 1, 2006
Halah Touryalai |
Surfing the Street Here are some great blogs worth financial advisors' time: the10b-5daily.com... sacarbitration.com... taxbiz.blogspot.com... 401khelpcenter.com... |
Registered Rep.
January 1, 2007
Karen Donovan |
Fix Arbitration Now Here are three problems that lawyers who struggle with the securities industry's arbitration system say they confront on a routine basis. For the most part, the lawyers for customers and those who represent the industry have radically different views on how to fix the system. |
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.
June 1, 2004
John Churchill |
Questions for the Defense 2004 has been a good year for investors thus far, but you'd hardly know it to look at the number of arbitration filings. |
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? |
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. |
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. |
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. |
On Wall Street
April 1, 2013
Alan J. Foxman |
Debunking Arbitration Rules Our legal expert discusses whether brokerage firms have to report arbitration actions against them. |
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. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
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.
January 13, 2010
Halah Touryalai |
Citi Files Motion To Dismiss In Bonus Pay Class Action The original lawsuit was brought on behalf of 6 former Citigroup brokers who allege that the payback terms on their upfront bonuses violate contract law, and that they do not owe the firm any money. |
Commercial Investment Real Estate
Mar/Apr 2004
John A. Sherrill |
Legal Briefs Commercial real estate companies are turning to alternative dispute resolution to solve disagreements with partners, suppliers, customers, and other professionals with whom they have contractual relationships. |
Investment Advisor
February 2009
Elizabeth D. Festa |
Industry Hit by Class Actions The subprime/liquidity crisis has led to 97 federal securities class action filings in 2008. |
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. |
On Wall Street
October 1, 2008
Elizabeth Wine |
Jury of Their Peers Under a new arbitration program, investors will be able to choose to air complaints to a panel of regular people, without the token industry insider. So why are both sides of this issue unhappy with the plan? |
Inc.
June 2005
Dimitra Kessenides |
Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration. |
Registered Rep.
August 29, 2006
Kristen French |
Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003. |
Investment Advisor
September 2007 |
No Assets, No Need For Insurance Letters to the editor: Look before you leap, then look again... Clarification... |
National Defense
July 2012
D'Agostino & Bradel |
Pitfalls Abound in Contract Disputes Act Claims Preparing and filing a certified claim under the Contract Disputes Act for payment from the government for performance of a contract generally is straightforward work for contractors and their legal counsel. Yet certified claims are not without ethical pitfalls. |
Registered Rep.
March 1, 2007
Karen Donovan |
Arbitration Tweaks The SEC recently tried to help improve the arbitration system by offering a new code of procedures for picking arbitrators. But as arbitration lawyers have found there was not much to get excited about. |
Job Journal
December 7, 2003
Michael Kinsman |
The Arbitration Option More and more workplace disputes are going to arbitration. |
Registered Rep.
March 21, 2006
Kevin Burke |
Former Prudential Broker Barred for Market Timing A federal judge barred for life a former Prudential Securities broker for failing to respond to an order instituting proceedings issued by the SEC over fraud charges. But that may be the least of his worries. |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
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? |
