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28 Nov 2017, 8:09 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed June 2016, Claimants asserted negligence and breach of contract. [read post]
26 Mar 2018, 8:58 am
Today's BrokeAndBroker.com Blog considers allegations that Merrill Lynch caused the wrongful death of one of its customers. [read post]
19 Nov 2021, 3:27 am
Notably, the appellate court refused to bite on UBS's bait that so-called public policy gave it broad license when it came to posting disclosures about an associated person's conduct.2019 FINRA Arbitration AwardIn a FINRA Arbitration Statement of Claim filed in June 2018 and as amended, associated person Claimant Munizzi asserted defamation per se attendant to Respondent UBS' filing of his Form U5 and the disclosures on his Central Registration… [read post]
20 Feb 2018, 3:19 am
In today's BrokeAndBroker.com Blog, we come upon yet another FINRA arbitration involving a public customer who represented himself. [read post]
30 Oct 2023, 6:17 am
2019 FINRA Arbitration Claims In a FINRA Arbitration Statement of Claim filed in April 2019, FINRA member firm Claimant Charles Schwab & Co. as... [read post]
16 Nov 2020, 1:15 pm
Supreme Court indicated that the nation’s highest court had granted a pair of petitions for writ of certiorari which were then consolidated into Davis v. [read post]
20 Jun 2023, 4:44 am
In keeping with most FINRA arbitrations, we never quite learn exactly what went wrong and who did what to whom and why -- regardless, it's all a burning wreck on the side of the road and it's tough to drive by without looking. [read post]
4 Mar 2022, 10:21 am
In keeping with most FINRA arbitrations, we never quite learn exactly what went wrong and who did what to whom and why -- regardless, it's all a burning wreck on the side of the road and it's tough to drive by without looking.Case in PointIn a FINRA Arbitration Statement of Claim filed in September 2020 and as amended, associated person Claimant Di Vincenzo sought declaratory relief and asserted breach of contract; breach of covenant of good faith and fair… [read post]
10 Dec 2014, 1:18 am
When BrokeAndBroker.com Blog's Bill Singer describes a FINRA Arbitration Decision as a "disgrace," you have to know that he's really worked up and angry. [read post]
12 Sep 2014, 3:00 am
Thousands of cases involving over a hundred thousand claimants have been filed in federal and state courts. [read post]
24 Aug 2015, 3:19 am
The Securities and Exchange Commission's ("SEC's") Whistleblower program has yielded three Final Orders so far in August. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch Stockbroker's… [read post]
7 Aug 2017, 3:47 am
Yeah, I know, that's one hell of a segue.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2017, Claimant Taylor asserted breach of contract (emp... [read post]
12 Feb 2018, 3:20 am
In today's featured arbitration, the Respondent didn't start off on the right foot. [read post]
29 Jun 2018, 6:57 am
In today's featured arbitration, we got an unhappy public customer complaining that he was duped by his stockbroker into an investment that was beset by fraud. [read post]
1 Mar 2015, 9:47 am
Phantom vehicle cases can be difficult with regard to collection of uninsured motorist benefits because insurance companies often require some degree of independent confirmation (aside from the claimant's testimony) that another vehicle was to blame. [read post]
16 Nov 2015, 2:14 am
Hopefully, the growing swell of antagonism to Wall Street's brand of alternative-dispute-resolution will one day eradicate the industry's version of arbitration. [read post]
22 Sep 2014, 9:56 pm
• This page requires users to indicate if a claimant is currently taking or is expected to take prescription drugs as a result of the workers’ compensation injury. [read post]
16 Apr 2020, 11:00 pm
The bill’s amendments to existing unemployment insurance laws appear to provide temporary economic relief to both claimants and employers by waiving certain requirements and restructuring the way in which benefits related to the public health crisis are charged. [read post]
10 Oct 2016, 4:19 am
With many FINRA arbitrations involving a member firm's collection efforts against former employees for balances on promissory notes, there is a sense of confidence that tends to imbue the claimant employer's initiation of litigation. [read post]
