Arbitration

Displaying 450 results

Topic

Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch

Case revolved around investments in Puerto Rican bonds made by the former MLB star

Topic

Time to end mandatory arbitration

Requiring investors to relinquish their legal rights is fundamentally wrong

Topic

Leading expungement attorney accuses Finra staff of trying to influence arbitrators

Finra spokeswoman: Case staff advise arbitration panels on rules, procedures

Topic

House approves bill that would end mandatory arbitration in broker, adviser contracts

Legislation unlikely to get through Senate but sends a message for potential future action.

Topic

UBS ‘raid’ of Credit Suisse in U.S. prompts $9 million slap

Arbitration panel rules UBS did raid Credit Suisse employees.

Topic

Finra panel orders Raymond James to pay former broker more than $500,000 for defamation

Arbitrators include $100,000 sanction for firm's foot-dragging in producing documents.

Topic

Finra panel orders UBS to pay $555,000 to 91-year-old widow for losses tied to Ponzi scheme

UBS spokesman: Former broker sold investments 'that were not approved by UBS'

Topic

Adviser must pay former employer $358,000 for violating employment contract

Arbitrator ruled that adviser was supposed to pay a fee for every former client he solicited.

Topic

Virginia poised to ban mandatory arbitration clauses for state-registered advisers

State regulator said limitation is 'contrary to fiduciary duty.'

Topic

401(k) court ruling could hurt retirement savers

A recent decision by the 9th U.S. Circuit Court of Appeals allows Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan.

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