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Publications
BottomLine Inc.: Beware Brokers Who Run Up Charges
Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers...
Investment News: Client wins $433,000 through FINRA arbitration claim..
Growing problem: Unpaid Arbitration Awards According to an article in Investment News, unpaid arbitration awards are a growing problem. The...
Investment News: New FINRA head Robert Cook…
New CEO of the Financial Industry Regulator Authority to Publish Examination Findings According to an article in Investment News, FINRA...
Investment News: Couple files Finra claim…
A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the...
Investment News: Wells Fargo faces major test..
A Wells Fargo Advisors client has asked arbitrators to recover money he says he lost investing with F-Squared Investments Inc., his lawyer said Wednesday, testing whether investors can challenge brokerage firms who sold the troubled asset manager’s products…
Public Investors Arbitration Bar Association Journal
his article addresses what appears to be a growing problem and our experience in defending against it. Specifically, broker-dealers’ attempts to apply indemnification clauses in private placement subscription agreements—intended to apply solely to the sponsor of the investment—to themselves…
