A little-known provision within the Dodd-Frank Act gives the Securities and Exchange Commission the power to remove mandatory arbitration language from client-broker agreements. If the SEC strips out ...

The Financial Industry Regulatory Authority's board of governors on Thursday approved two measures that could lead to big changes in its securities arbitration system, where investors and brokerages ...

Finra arbitrators split, 2-1, in awarding Ryan Sanghak Lee $500,000 for wrongful termination. They also changed the reason for his departure on his Form U5 and expunged a claim that was filed ...

Legislation introduced this week would prohibit registered investment advisors, broker-dealers and securities dealers from using customer contracts that contain forced arbitration agreements or ...

Under a mixed and unexplained FINRA arbitration decision, a former Morgan Stanley broker will receive $900,000 in damages from the firm over his wrongful termination and defamation case. Joseph C.

A former LPL Financial broker who sought more than $1 million in damages for defamation and other claims was instead ordered to pay executives of his former branch more than $400,000. "It's not very ...

Altamirano PLLC, a New York-based securities arbitration law firm, has announced an investigation into the brokerage firms that sold Inspired Healthcare Capital (IHC) investments. IHC, an ...

Why is Christian Science in our name? Our name is about honesty. The Monitor is owned by The Christian Science Church, and we’ve always been transparent about that. The Church publishes the Monitor ...

Oct 28 (Reuters) - In a rare move, a securities arbitration panel sided with a broker who alleged UBS AG had hurt his business model and team, although the broker also has to return bonus money. Sign ...

WASHINGTON (CBS.MW) -- The Supreme Court said it would hear a case on whether arbitrators, rather than judges, can decide when securities firms can resolve disputes with their customers through ...

NEW YORK, Jan 22 (Reuters) - Stock prices soared last year, but not as much as the number of brokerage customer complaints seeking arbitration. Sign up here. Some 7,137 arbitration cases were filed ...