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Tag: FINRA award

Blog, Current Investigations

FINRA Arbitrator favors Broker in claim against Merrill Lynch

FINRA Arbitrator Recommends Expungement after Merrill’s U5 Notice Shows ‘Reckless Disregard for the Truth’ A FINRA arbitrator has...

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Blog

FINRA AWARD: Wells Fargo to pay $40,000 to Nevada investor

FINRA Panel finds Wells Fargo Violated Nevada’s New Fiduciary Rule According to an article in the Wall Street Journal this week, a Nevada...

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Current Investigations, Securities Fraud

Investor Wins Arbitration Award for Unsuitable Energy & Housing Investments

$375,000 FINRA Arbitration Award According to Investment News, an investor won a $357,000 FINRA arbitration award against Wells Fargo...

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Blog, Securities Fraud

Award Against Merrill Lynch Involving Broker Phil Scott

According to the Investment News, clients of a prominent Bank of America Merrill Lynch have won an $880,000 arbitration award against the...

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