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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?
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.
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
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.
Entrepreneur January 2004 Marc Diener	Making Peace If you haven't yet considered mediation as a way to resolve business disputes, here's why you should.
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.
Commercial Investment Real Estate Jul/Aug 2009 Rich Rosfelder	Mediation Basics A slow real estate market is fertile ground for contract disputes. Certified commercial investment members (CCIMs) need to recognize alternative conflict resolutions mechanisms to arbitration.
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. 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 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 December 1, 2010 Alan J. Foxman	When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.
Job Journal December 7, 2003 Michael Kinsman	The Arbitration Option More and more workplace disputes are going to 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.
Inc. June 2005 Dimitra Kessenides	Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration.
Registered Rep. February 1, 2003 Ross Tucker	Legal Briefs? Not In 2002 Well before the year ended, 2002 was poised to set NASD arbitration records -- but not the kind of records many would be proud of.
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. 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.
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. 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. October 1, 2006 Halah Touryalai	Mediation Mambo If you've got legal trouble, October may be your lucky month: It's "mediation month" sponsored by the NASD.
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 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.
Registered Rep. September 1, 2005 Greg Bailey	The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists.
AskMen.com October 15, 2000 Luis Rodrigues	Divorce Planning: Limit The Financial Sting It is never easy for a man to deal with a failed marriage. It is a time where emotions run very high while important financial decisions need to be made: a lethal combination...
Entrepreneur January 2007 Marc Diener	Put it in Neutral In the ordinary course of business, a lawsuit is the course of last resort. Litigation is expensive, time-consuming, mean-spirited and often unfair. Mediation offers a better way.
Registered Rep. January 1, 2005	An Encouraging Sign Is the worst of the arbitration onslaught over? Through October, there were 7,008 complaints filed with the NASD.
The Motley Fool July 18, 2007 Selena Maranjian	Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones.
Registered Rep. March 25, 2011 Diana Britton	Securities America Negotiates With Plaintiffs; Saga Continues Securities America met with plaintiff's attorneys to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements.
Registered Rep. June 1, 2005	The Cost of Compliance Q: My current firm recently hired a non-licensed wholesaler to begin marketing our mutual fund family. What liability do I have, given that the wholesaler is not licensed?
The Motley Fool October 5, 2007 Selena Maranjian	Credit Card Fine Print Can Cost You Be careful, or you may end up ensnared by credit card arbitration. A recent study in California showed in 95% of these arbitration cases, the consumer lost. What can you do about this?
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. 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.
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. April 1, 2006	Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc.
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. 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.
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 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?...
Commercial Investment Real Estate Nov/Dec 2011 Thomas E. Gibbs	Avoidance Behavior Learn to resolve disputes before they occur. Mediation, arbitration, and other forms of alternative dispute resolution have become a favorable choice in today's commercial real estate market.
Registered Rep. April 1, 2007 Bill Singer	Clarence Darrow, You're Not Beware of water-cooler know-it-alls when it comes to legal advice regarding NASD violation issues.
Registered Rep. August 9, 2006 Kristen French	NYSE Reg to Streamline Arbitration: Proposes One Arbitrator for Cases Under $200,000 The arbitration system has been under fire lately for being costly, slow and skewed in favor of the industry. This new proposal will help to alleviate those concerns.
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?
Inc. April 1, 2004	Ted's Wild U-Turn Ted Turner comes home... Tricky definitions... Yet another reason to charge more...
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?
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. September 10, 2002 Rick Weinberg	Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.
Registered Rep. May 1, 2004	Arbitrary Decisions Q & A on work-related ethical quandaries for the investment professional.
Registered Rep. September 25, 2007 Karen Donovan	Expunging Customer Complaints Is Too Easy . . . So Say Client Lawyers The lobbying group of lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to "immediately halt" the practice that allows arbitration panels to expunge customer complaints from a rep's record.
The Motley Fool March 21, 2007 S.J. Caplan	Check Out Your Broker A redesigned website tells you what you need to know before you invest.
The Motley Fool May 23, 2007 Selena Maranjian	Brokerage-Related Warnings There's a lot of information for investors at the NASD website. Here are a few topics about which it has recently issued alerts.