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Case revolved around investments in Puerto Rican bonds made by the former MLB star
Requiring investors to relinquish their legal rights is fundamentally wrong
Finra spokeswoman: Case staff advise arbitration panels on rules, procedures
Legislation unlikely to get through Senate but sends a message for potential future action.
Arbitration panel rules UBS did raid Credit Suisse employees.
Arbitrators include $100,000 sanction for firm's foot-dragging in producing documents.
UBS spokesman: Former broker sold investments 'that were not approved by UBS'
Arbitrator ruled that adviser was supposed to pay a fee for every former client he solicited.
State regulator said limitation is 'contrary to fiduciary duty.'
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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