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Registered Rep. March 1, 2007 Karen Donovan	Arbitration Tweaks The SEC recently tried to help improve the arbitration system by offering a new code of procedures for picking arbitrators. But as arbitration lawyers have found there was not much to get excited about.
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?
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. 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 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.
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 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.
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. 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. 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.
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 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. September 10, 2002 Rick Weinberg	Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.
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.
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. 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 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?
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. January 27, 2004 John Churchill	New Rule Makes Clearing Your Record Harder Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult.
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 Alan J. Foxman	Crossing the Line in Your Relationships with Clients Q&A: What privileges can a firm give a client?... Can a financial advisor borrow money from a bank that is a client?... Arbitration claims about promissory note... Must I tell my employer annuities I've sold through a third-party vendor?...
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, 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. 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.
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.
Registered Rep. May 1, 2004	Arbitrary Decisions Q & A on work-related ethical quandaries for the investment professional.
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. 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. October 1, 2002 David A. Gaffen	Pitt to NASD, NYSE: Foul! The NASD and NYSE sued the California Judicial Council to stop new arbitration rules, claiming SEC oversight and federal law preempts separate state regulation. Harvey Pitt has ordered the organizations to empanel arbitrators to start handling the cases against brokers that have been piling up.
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. April 8, 2003 Will Leitch	SIA Calls NASD Proposal Unfair The Securities Industry Association has weighed in negatively on the NASD's proposed changes to the handling of central registration depository (CRD) complaints.
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. March 3, 2003 David A. Gaffen	In Florida Arbitration, Out-of-State Lawyers Must Pass Florida Bar Wall Street just developed a headache the size of Florida. Basically, any firm that uses out-of-state lawyers (from the home office, for example) to represent the firm in Florida-based cases will now have to use Florida-licensed lawyers.
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.
Financial Planning October 1, 2006 Lynn Hume	The Bond Buyer A NASD hearing panel has censured and imposed a $5 million fine on American Fund Distributors for directing $98 million in brokerage commissions over three years to 50 broker-dealer firms in order to reward them for being top sellers of its funds.
Inc. June 2005 Dimitra Kessenides	Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration.
Registered Rep. August 28, 2002 Rick Weinberg	NASD Looks To Approve Broker, Brokerage Firm Use of Investment Analysis The NASD is looking to approve a proposal that would allow brokers and brokerage firms to provide clients with interactive investment analysis tools.
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.
Registered Rep. January 29, 2008 Kristen French	Fuss Over Broker Expungement Continues The Public Investors Arbitration Bar Association recommends that the SEC and FINRA halt expungements, after a study finds that 98 percent of brokers seeking expungement in 2006 from an arbitrator got one.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
On Wall Street December 1, 2009 Alan J. Foxman	Don't Ask, Don't Bill Q&As: FINRA arbitration... Can a former client who made money sue a firm?...
Registered Rep. December 15, 2005 John Churchill	Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost.
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.
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
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?...
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.
Registered Rep. October 1, 2002 Rick Weinberg	Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client.
CFO October 1, 2003 Craig Schneider	The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel?
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."