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On Wall Street March 1, 2011 Lorie Konish	All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations.
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. February 11, 2010 Halah Touryalai	Victory For Broker in Citi Bonus Repayment Case A former Citi broker doesn't have to pay back the full amount owed on his sign-on bonus, a FINRA arbitration panel rules.
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. 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 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?
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.
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 25, 2007 Karen Donovan	SEC Finally Approves Overhaul of Arbitration Code: Some Lawyers Are Underwhelmed The new SEC code will bring one big change: It alters the crazy-quilt method by which the opposing sides select the three arbitrators who will serve on the hearing panel that hears a customer's dispute against a brokerage firm.
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.
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.
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
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. 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. 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.
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.
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.
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.
On Wall Street June 1, 2009 Alan J. Foxman	Anyone Around Here Know a Good Lawyer? Financial advisors ask their legal questions.
Registered Rep. July 30, 2009 Christina Mucciolo	Financial Advisor To The Mafia? Do any of your clients have a connection to the Mafia? One lawyer specializing in securities law says he represents a financial advisor who was threatened by someone claiming to have family in the Mob.
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?
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.
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 September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
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. May 1, 2008 Karen Donovan	The Clean Slate Club If a proposed new FINRA rule is adopted by the SEC, reps may find it harder to get potentially frivolous customer complaints wiped clean from their U4s.
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 December 1, 2008 Alan J Foxman	Sipc Insures Select Cases Brokers are unsure what to tell clients about SIPC coverage, as well as the rationale on arbitration 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.
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.
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.
Inc. June 2005 Dimitra Kessenides	Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration.
On Wall Street May 1, 2010 Alan J. Foxman	Do You Always Have A Right To An Attorney In Arbitration? Q&A: Rights to attorneys in arbitration... Is giving the client a bond's rating enough when it comes to disclosing risks?...
On Wall Street August 1, 2010 Alan J. Foxman	Getting A Good Arbitrator How FINRA selects arbitrators... Arbitrators don't need intimate knowledge of the brokerage industry...
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.
On Wall Street June 1, 2010 Alan J. Foxman	Holding the Check: Problem or No? Holding onto a client's check for more than a week... Lowering total commission limits... FINRA arbitration... What to do with proprietary mutual funds if you switch companies...
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.
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?
Entrepreneur December 2005 Chris Penttila	Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?
On Wall Street November 1, 2010 Alan J. Foxman	Crime Versus Punishment Members of the financial services industry write in for advice and have their legal questions answered.
On Wall Street June 1, 2013 Alan J. Foxman	When Settling a Suit Makes Sense Our legal expert discusses when settling an arbitration case saves time and money.
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.
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 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 February 1, 2013 Alan J. Foxman	Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named.
Job Journal December 7, 2003 Michael Kinsman	The Arbitration Option More and more workplace disputes are going to arbitration.
On Wall Street August 1, 2011 Lorie Konish	Morgan Keegan's Woes May Not Be Over Morgan Keegan has aggressively fought funds-related arbitration cases and will continue to do so.
On Wall Street November 1, 2009 Thomas Lewis	It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.
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.