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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.   |
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
September 1, 2011
Alan J. Foxman |
To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction? |
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. |
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
August 1, 2010
Alan J. Foxman |
Getting A Good Arbitrator How FINRA selects arbitrators... Arbitrators don't need intimate knowledge of the brokerage industry... |
On Wall Street
June 1, 2010
Alan J. Foxman |
Holding the Check: Problem or No? Holding onto a client's check for more than a week... Lowering total commission limits... FINRA arbitration... What to do with proprietary mutual funds if you switch companies... |
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... |
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?... |
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
January 1, 2010
Alan J. Foxman |
Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system... |
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? |
Registered Rep.
November 1, 2006
Bill Singer |
Secret Agreements with Clients Can Backfire Developing NASD enforcement trends: NASD Conduct Rule 2330: Customers' Securities or Funds... NASD Conduct Rule 2370: Borrowing From or Lending to Customers... etc. |
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. |
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. |
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. |
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.
May 1, 2004 |
Arbitrary Decisions Q & A on work-related ethical quandaries for the investment professional. |
On Wall Street
August 1, 2013
Alan J. Foxman |
Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions. |
Registered Rep.
May 17, 2006
John Churchill |
Monster Arbitration Ruling Against Ameriprise Unit An NASD Arbitration panel awarded 32 retired Exxon employees a total of $22 million in damages for losses suffered when their broker put most of their savings in variable annuities and B-share mutual funds. |
Registered Rep.
February 11, 2010
Halah Touryalai |
Victory For Broker in Citi Bonus Repayment Case A former Citi broker doesn't have to pay back the full amount owed on his sign-on bonus, a FINRA arbitration panel rules. |
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, 2009
Alan Foxman |
Whistleblowing Made Easy How to go about alerting authorities to violations in your firm, other legal questions are answered. |
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.
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
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.
January 1, 2003
Jonathan P. Arfa |
Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work. |
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
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.
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. |
On Wall Street
August 1, 2012
Alan J. Foxman |
FINRA's New Suitability Rule I'm a compliance officer for a small brokerage firm. I'm a little confused by FINRA's new suitability rule. What, if anything, extra does it require us to do? |
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
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4? |
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. |
On Wall Street
June 1, 2009
Alan J. Foxman |
Anyone Around Here Know a Good Lawyer? Financial advisors ask their legal questions. |
Registered Rep.
October 19, 2007
Karen Donovan |
Don't Settle With Regulators--Litigate, Says Sutherland Et Al. (That Figures, Regulators Retort: Lawyers Would Say That) You may lose in arbitration, but the punishment may be less than you would have received in a settlement. |
On Wall Street
February 1, 2013
Alan J. Foxman |
Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named. |
Registered Rep.
January 25, 2007
Karen Donovan |
SEC Finally Approves Overhaul of Arbitration Code: Some Lawyers Are Underwhelmed The new SEC code will bring one big change: It alters the crazy-quilt method by which the opposing sides select the three arbitrators who will serve on the hearing panel that hears a customer's dispute against a brokerage firm. |
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.
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.
July 23, 2007
Kevin Burke |
Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer. |
On Wall Street
April 1, 2010
Alan J. Foxman |
New Firm, Better Annuity, Client Still Not Happy Advisor Q&A: Client complains about annuity surrender charge... Terminated reps and identity theft... |
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.
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
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. |
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. |
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
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. |
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. |
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. |
