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Publications

Blog, 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...

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Publications

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...

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Blog, Publications

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...

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Blog, Publications

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...

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Publications

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…

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Publications

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…

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