Search for: "Matulis Mediation | Arbitration"
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13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts (SEC Release)SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to $150 Million… [read post]
13 Aug 2022, 8:55 am
Bancorp Investments, Inc, Respondent (FINRA Arbitration Award)... [read post]
13 Aug 2022, 8:55 am
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
13 Aug 2022, 8:55 am
A panel of three FINRA arbitrators found TD Ameritrade's management to have been grossly negligent and failing to use due diligence. [read post]
13 Aug 2022, 8:55 am
(BrokeAndBroker.com Blog)Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)How Regulatory Sandbox Programs Can Promote Technological Innovation and Consumer Welfare / Insights from Federal and State Experience (OnPoint, Competitive Enterprise Institute by Ryan Nabil)California Man Receives 10 Year Sentence Following Guilty Plea in South Carolina to Fraud Conspiracy / Masterminded $300 Million Ponzi Scheme… [read post]
12 Aug 2022, 11:48 am
Arbitration is less stressful. [read post]
12 Aug 2022, 7:09 am
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
11 Aug 2022, 11:27 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
Morgan Stanley Gets Sued by 10 Former Advisors Who Claim The Firm Stiffed Them on Compensation Owned
11 Aug 2022, 10:52 am
In a new arbitration filing, 10 ex-Morgan Stanley brokers in the New York City area raised claims that the firm “improperly deferred” compensation in violation of the Employee Retirement Income Security Act of 1974 (ERISA) and also violated New York state law by withholding those funds when they left, according to Advisorhub.com. [read post]
11 Aug 2022, 8:51 am
While California’s arbitration ban (AB 51) prohibits certain California employers from requiring employees to sign arbitration agreements as a condition of employment, certain employers, like those covered by the Federal Arbitration Act (FAA), are exempt from this prohibition. [read post]
11 Aug 2022, 6:44 am
Here’s the Thursday morning read: The cognitive dissonance of watching the end of Roe unfold online (Melissa Gira Grant, MIT Technology Review) Supreme Court Refuses to Fast Track Coinbase Arbitration Dispute (Kimberly Robinson & Lydia Wheeler, Bloomberg Law) Alito’s Call to Arms to Secure Religious Liberty (Linda Greenhouse, The New York Times) Supreme Court faces new pressure to reconsider racist ‘Insular Cases’ (Rafael Bernal, The Hill) Elena Kagan’s… [read post]
11 Aug 2022, 4:33 am
In response to the complaint, Dropbox moved to compel arbitration arguing that its amended terms of service (TOS) required the claim to be resolved through binding arbitration instead of a lawsuit. [read post]
10 Aug 2022, 2:43 pm
Many states require arbitration in cases where the FAA doesn’t. [read post]
10 Aug 2022, 2:19 pm
The Mavrick Law Firm represents businesses and their owners in breach of contract litigation and related claims of fraud, non-compete agreement litigation, trade secret litigation, trademark infringement litigation, employment law, and other legal disputes in federal and state courts and in arbitration. [read post]
10 Aug 2022, 8:54 am
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
10 Aug 2022, 6:14 am
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
10 Aug 2022, 5:58 am
The arbitration involved the Sandra Bullock feature Bird Box. [read post]
9 Aug 2022, 2:58 pm
The arbitration demand is referred to as the Frei demand. [read post]
9 Aug 2022, 11:20 am
Here is the opinion in Caremark LLC v. [read post]
