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Registered Rep.
August 1, 2004
Bill Singer |
Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record.   |
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? |
On Wall Street
October 1, 2013
Alan J. Foxman |
Our Legal Expert Defines Client Complaints Do you know when a customer complaint is reportable? |
Registered Rep.
February 1, 2003
Bill Singer |
Shelter From the Storm? In investor lawsuits against financial advisors, many reps choose to let the broker/dealer's lawyer represent them --- often simply because he's provided "free of charge". Big mistake. |
Registered Rep.
July 1, 2004
Bill Singer |
When Silence Isn't Golden Reps may not inhibit customers or other parties from providing information, documents or testimony or from cooperating otherwise with a regulator in an investigation of alleged violations, even after a settlement. |
On Wall Street
October 1, 2010
Alan J. Foxman |
The Instant Age of Social Media Readers ask for advice on indemnification agreements, social media, suing a 401(k) plan holder for misrepresentation on the outlook for company stock, and asset purchase agreements. |
Registered Rep.
May 28, 2010
Bill Singer |
Widows Always Win, Wachovia Hit With Fine Seventy-nine-year-old widow Lois Pillen alleged that in 2007, various securities were purchased in her Wachovia Securities LLC account without her authorization |
Registered Rep.
September 1, 2005 |
Expunge Bath I received customer letters, written after a nasty falling-out, that my firm said would appear on my internal U4, but not my public statement. Am I forever marked up, or can I get the letters off my record?... |
Registered Rep.
October 1, 2002
Jonathan P. Arfa |
First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint? |
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
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
On Wall Street
December 1, 2010
Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services. |
Registered Rep.
March 1, 2008 |
Client Complaints: To Report Or Not To Report When a registered rep should report client complaints. |
Registered Rep.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
Registered Rep.
April 1, 2005 |
Death by Nickels and Dimes Although I signed a contract that stipulated ticket charges would be $15, they are now up to $35. Can I do anything to avoid paying more or even go back to the original number? |
On Wall Street
February 1, 2010
Alan J. Foxman |
Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil. |
On Wall Street
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4? |
On Wall Street
October 1, 2012
Alan J. Foxman |
Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules. |
On Wall Street
July 1, 2009
Alan Foxman |
Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered. |
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 1, 2005
John Churchill |
Merrill Takes a Late Hit on Research Scandal An NASD arbitration panel ordered Merrill Lynch to pay more than $1 million to an investor last month for hiding conflicts of interest and issuing fraudulent research. |
Registered Rep.
June 20, 2011
Bill Singer |
The Regulatory Semantics of Customer Complaints The first domino in this cascade of disaster fell on Sept. 17, 2008, when an unidentified Merrill Lynch registered representative received an email customer complaint. |
BusinessWeek
February 9, 2004
Carol Marie Cropper |
This Clause Should Give You Pause Beware of service contracts that shield companies and put you at risk. |
Registered Rep.
February 25, 2011
Jerry Gleeson |
Wells Fargo Settles Sex Discrimination Claims For $32 Million Wells Fargo Advisors has tentatively agreed to a $32 million settlement of a federal class-action gender discrimination lawsuit brought in 2009 by three women financial advisors who worked at its legacy Wachovia Securities brokerage. |
Registered Rep.
May 13, 2011
Bill Singer |
Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again. |
Registered Rep.
November 5, 2003
Churchill & Gaffen |
Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
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.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
Registered Rep.
February 1, 2005
Bill Singer |
Short but Not Necessarily Sweet It's a heady moment when a rep leaves his firm. It also often sets in motion a series of showdowns over client ownership and compensation issues. One way to make things easier is to pay careful attention to your resignation letter. |
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. |
Investment Advisor
December 2007
Thomas D. Giachetti |
Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right. |
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. |
InternetNews
April 19, 2005 |
California Class Dismissed Microsoft escapes court action for alleged overcharging, but municipalities can sue again. |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
Chemistry World
May 11, 2015
Phillip Broadwith |
Takeda offers $2.4bn to settle diabetes litigation Japanese drug company Takeda has put aside $2.7 billion to cover settlements of US product liability court cases relating to its diabetes drug Actos (pioglitazone). |
InternetNews
April 1, 2011 |
Microsoft Files Complaint Against Google in EU Microsoft has filed a complaint against Google in the European Union over alleged anti-competitive actions taken by Google's search engine. |
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.
September 1, 2004 |
The Blame Game When is a broker or a financial planner a fiduciary?... Should I seek separate legal counsel or allow my former firm's attorney to represent me?... |
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.
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.
March 1, 2006 |
Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc. |
Registered Rep.
May 2, 2011
Diana Britton |
Securities America Moves One Step Closer to Finalizing Settlement After months at the negotiating table with clients who filed arbitration and class action claims against the firm, Securities America is one step closer to getting the OK on a $150 million settlement. |
Registered Rep.
September 15, 2009
John Churchill |
Victims of Florida Broker Gary Gross Get $7million The plaintiffs' attorneys are calling the award one of the biggest FINRA awards ever against an individual broker. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
InternetNews
June 10, 2009
Kenneth Corbin |
Google Stumps for Book Search Settlement Google is getting vocal about what the deal with authors and publishers would and wouldn't allow it to do. |
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? |
Entrepreneur
October 2003
Jane Easter Bahls |
Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement? |
