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Inc.
February 2004
Lora Kolodny |
A Win for Arbitration, But Do You Ultimately Lose? Surprising news about arbitration. Is arbitration better and cheaper than litigation?   |
Managed Care
June 2002
Bob Carlson |
First Business, Now Health Care: Signing Away One's Right To Sue More and more, mandatory arbitration clauses are surfacing in agreements between businesses and individuals. Will the line be drawn at managed care? |
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
October 2003
Jane Easter Bahls |
Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement? |
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.
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. |
The Motley Fool
October 24, 2007
Selena Maranjian |
Mandatory Arbitration Stinks Read the fine print. The people who decide how to resolve your disputes with your homebuilder might not be so impartial. |
Investment Advisor
December 2007
Thomas D. Giachetti |
Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right. |
Job Journal
December 7, 2003
Michael Kinsman |
The Arbitration Option More and more workplace disputes are going to arbitration. |
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.
June 2005
Dimitra Kessenides |
Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration. |
Registered Rep.
October 25, 2002
Rick Weinberg |
PaineWebber Appeal Rejected by Supreme Court Completing "bucking" its trend of supporting arbitration over litigation, the U.S. Supreme Court rejected a UBS PaineWebber appeal of a decision that the firm claims allows clients to circumvent arbitration agreements they had previously signed. |
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. |
InternetNews
December 8, 2008
Judy Mottl |
AT&T, Apple Want iPhone 3G Suit Dismissed AT&T and Apple ask New York court to push the lawsuit into arbitration. |
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.
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. |
BusinessWeek
June 22, 2011
Greg Stohr |
Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
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 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. |
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.
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.
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
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 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. |
Managed Care
January 2002
Donald Wilcox & Stephanie Kanwit |
Debating RICO Suits vs. Health Plans States Failed To Protect Docs From Insurers... Patients Will Suffer; Greedy Lawyers to Blame... |
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. |
Registered Rep.
October 4, 2006
John Churchill |
Citigroup Wins Long, Strange CAP Battle After going two for three in a unique tug of war involving both the arbitration and court systems, former Smith Barney broker James McCarthy is likely throwing in the towel in his three-year fight for the money left in his deferred-compensation 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. |
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.
August 1, 2006 |
Unbreakable Promises Q: Isn't it standard in the industry to prorate notes over the entire period employed? Do we have any recourse?... A: It's way too late in the game for you to be wondering about how proration of promissory notes works in the industry... 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. |
Inc.
April 1, 2004 |
Ted's Wild U-Turn Ted Turner comes home... Tricky definitions... Yet another reason to charge more... |
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.
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. |
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. |
On Wall Street
November 1, 2008
Alan J Foxman |
Caught in the Middle In an arbitration lawsuit one advisor was named as respondent, one wasn't -- and now both have problems to deal with. |
On Wall Street
June 1, 2011
Alan J. Foxman |
Arbitration Station Advisor Q&As: Promissory notes... Do tax liens need to be reported on Form ADV? |
Investment Advisor
July 2007
Melanie Waddell |
Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients. |
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.
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. |
On Wall Street
November 1, 2011
Lorie Konish |
A Foreign Investor Fights To Go To FINRA Arbitration A federal lawsuit recently filed by Citigroup Global Markets Inc. against a set of Saudi family investors with a $383 million claim against the firm will determine whether that case can proceed to arbitration. |
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. |
National Defense
October 2010
McGrath & Stapleton |
New Amendment To Change Employee Litigation Rules The Franken Amendment bars defense contractors and subcontractors from requiring employees, as a condition of employment, to agree to mandatory arbitration of discrimination claims under Title VII of the Civil Rights Act of 1964, based on race, color, religion, sex or national origin. |
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. |
Registered Rep.
October 17, 2011
Patrick J. Burns |
Don't Ignore That Promissory Note One of the trickiest components when it comes to a broker's departure from a wirehouse firm is how to handle the promissory note. |
On Wall Street
April 1, 2013
Alan J. Foxman |
Debunking Arbitration Rules Our legal expert discusses whether brokerage firms have to report arbitration actions against them. |
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. |
