An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Arbitration (290 results)
- Lehman Brothers Suffers Stunning Promissory Note Defeat
June 11, 2013 - Former Merrill Lynch Employee Files $3.8 Million Wrongful Termination Case
June 6, 2013 - Wedbush In Battle Royal With Former Employee
May 30, 2013 - Customers Complain That Edward Jones Did Not Stop In The Name Of Love
May 24, 2013 - ProEquties Tagged in TIC Arbitration
May 17, 2013 - The $2.6 Million Question In Goldman Sachs Suitability Arbitration
May 16, 2013 - Public Customer Wins Messy Private Placement Arbitration
May 16, 2013 - Cantor Fitzgerald Defends $13 Million Wrongful Termination Suit
May 13, 2013 - Stockbroker Wins Expungement Of Suitability Complaints
May 7, 2013 - FINRA Arbitrators Enjoin Stockbroker In Employment Dispute With U.S. Bancorp
May 6, 2013 - BBVA Sanctioned For Discovery Abuse In FINRA Arbitration
May 2, 2013 - Raymond James Indemnification Dispute With Former Broker
April 30, 2013 - Lehman Brothers In Bizarre FINRA Promissory Note Cases
April 30, 2013 - Wells Fargo Wins FINRA Hostile Work Environment Promissory Note Arbitration
April 29, 2013 - A UBS Promissory Note Arbitration Disclose The Hidden Costs Of Litigation
April 29, 2013 - Ameriprise Broker Exonerated In Great Recession Customer Case
April 16, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - FINRA Panel Splits On Award In Overtime Pay And Harassment Case
April 5, 2013 - Barclays Wins Bonus And Severance Dispute In Split Decision
April 1, 2013 - Merrill Lynch Selling Away Case Goes Back To The Future
March 27, 2013 - Schwab Wins Unfair Competition Damages
March 25, 2013 - FBR Capital Markets Loses Commission Dispute
March 22, 2013 - Wells Fargo And E*Trade Battle Over Ex-Husband's Withdrawals
March 15, 2013 - Lehman Brothers Loses Promissory Note Collection Case
March 8, 2013 - Merrill Lynch Hit With $8.5 Million Wrongful Termination Case
March 1, 2013 - Broker Dealer President And Chief Compliance Officer Sued By Firm
February 26, 2013 - FULL TEXT FINRA Decision On Charles Schwab Arbitration Agreement
February 21, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Stockbroker Exonerated For Following Broken FNMA Compass
February 9, 2013 - Ameriprise Sort Of Wins FINRA Promissory Note Arbitration
February 5, 2013 - Public Customer As Bad Guy In Morgan Stanley Case
February 5, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - US Airways Wins $30 Million ARS Award Against Oppenheimer
February 1, 2013 - Morgan Stanley Wins Promissory Note Case Against Former Broker
January 31, 2013 - UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
January 29, 2013 - FINRA Wrongful Termination Case Fizzles
January 28, 2013 - Ameriprise Wins Employee Promissory Note Case
January 24, 2013 - Customers Sue Wells Fargo Over Leveraged ETF Trades
January 16, 2013 - Citigroup Broker Exonerated In $2.5 Million Great Recession Case
January 15, 2013 - Former Morgan Stanley Branch Manager Litigates Hobson's Choice
January 9, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - Stockbroker Wins Arbitration For Owed Commissions And Expenses
December 14, 2012 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration
December 13, 2012 - Morgan Stanley Wins Unfair Competition And Raiding Case Against Robert W. Baird
November 27, 2012 - Janney Montgomery Scott Wins $2.4 Million Raiding Case
November 21, 2012 - Customer's Oddball ETF UIT Guarantee Allegation Proves A Winner
November 20, 2012 - Wells Fargo Embroiled In Another Trainee Fee Dispute
November 12, 2012 - Wells Fargo In Groundhog Day Deja Vu Training Fee Disputes
October 25, 2012 - Thundering Silence From Customer Trumpets Wells Fargo Arbitration Victory
October 25, 2012 - Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
October 24, 2012 - E*Trade Customer Seeks Damages for Failed Phone Transaction
October 22, 2012 - Wells Fargo Blindsided In Trainee Fee Loss
October 18, 2012 - Former Employee Wins Wrongful Termination FINRA Expungement Case
October 11, 2012 - Exonerated Stockbroker Remains Victimized In Public Customer Arbitration
October 8, 2012 - Lehman Brothers Cited For Repo 105 In Promissory Note Case
October 3, 2012 - Morgan Stanley Smith Barney Eviscerated In Fidelity Unfair Competition Case
September 25, 2012 - Wells Fargo Trainee Fee Arbitration Comes Up Short
September 25, 2012 - Merrill Lynch Failed To Provide Conducive Workplace For Employee
September 24, 2012 - Wall Street Wrongful Termination Dispute Ends With A Whimper
September 20, 2012 - Lehman Brothers Sought $159,000 Repayment Of Promissory Note From Former Broker But Gets Zippo
September 13, 2012 - Customer Settled Suitability and Churning Case But Stockbroker Wins Expungement
September 11, 2012 - Former Santander Female Employee Filed $Multi-Million Sexual Harassment Wrongful Termination Case
September 5, 2012 - Wells Fargo Advisors Comes Up Short in Retention Bonus Case
August 29, 2012 - Former Chase Investment Employee Wins Happy Birthday Wrongful Termination Expungement
August 28, 2012 - Husband Sues Advest, Credit Suisse, And Two Stockbrokers Over Wife's Unauthorized Withdrawals
August 23, 2012 - Former Morgan Stanley Smith Barney Employee Wins Promissory Note Arbitration
August 21, 2012 - Ameriprise Gets Nasty Surprise Over Sale Of Financial Planning Practice
August 9, 2012 - Joint Venture Collapses Into FINRA Arbitration Slugfest Over Fee Division
August 8, 2012 - Pinnacles's $1 Million Arbitration Not Credible, Probative, Substantive, Or Meritorious
July 31, 2012 - $5 Million Customer Case Fizzles Against Janney Montgomery Scott, Jesup & Lamont, And Wachovia
July 30, 2012 - Sleeping Dog Bites Former Raymond James Employee After Form U5 Expungement
July 23, 2012 - Former Wedbush Rep Wins Incentive Compensation Case
July 12, 2012 - Madoff Feeder Fund Fairfield Sentry Dispute Among First Through FINRA Arbitration
July 10, 2012 - Citigroup Wins FINRA Arbitration And Expungement As Public Customer Pulls A No-Show
July 9, 2012 - Lehman Largely Wins A Promissory Note Collection Case In FINRA Arbitration
June 25, 2012 - Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award
June 20, 2012 - Fidelity Relationship Managers Win One,Lose One In FINRA Expungement Hearing On Settled Customer Complaint
June 14, 2012 - Employee Loses But Sort Of Wins Twilight Zone Promissory Note Arbitration Against Citigroup And Morgan Stanley
June 13, 2012 - Arbitrators Slam SunTrust's Legal Tactics In Non-Solicitation Case Against Former Employee
June 12, 2012 - Lehman Loses Another Promissory Note Collection Case
June 11, 2012 - Crumbling Marriage Collapses On Citigroup In Dispute Over Wife's Withdrawals
June 5, 2012 - Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
May 22, 2012 - Hubby Dips Into Wife's Retirement Account And She Successfully Sues Brokerage Firm
May 21, 2012 - E*Trade Settles Auction Rate Securities Case But The Product Keeps On Giving Grief
May 16, 2012 - UBS Exposes Its Frivolous Briefs In $21 Million FINRA Customer Arbitration
May 10, 2012 - Lehman Brothers Loses Another FINRA Promissory Note Collection Case
May 7, 2012 - Wells Fargo Settles With Customer But Broker Wins Expungement
May 1, 2012 - Wells Fargo KO'd In Trainee Fee Case
April 27, 2012 - Ameriprise Employee Goes Down In Flames In Promissory Note Case
April 27, 2012 - FINRA Arbitrators Say Public Customer Claimant Grossly Misled Wachovia
April 25, 2012 - Former Employee Wages 4 Year Battle Over Form U5 Expungement
April 24, 2012 - FINRA Arbitrators Wrestle With Considerable Confusion In Wells Fargo Employment Case
April 17, 2012 - FINRA Arbitrator Finds Merrill Lynch Defamed Former Broker
April 17, 2012 - For Some Reason, FINRA Arbitrators Award $2 Million To Broker For Something
April 12, 2012 - Allegations Of Intolerable Work Conditions Fail In Former Merrill Lynch Employee's Promissory Note Case
April 11, 2012 - Stockbroker Goes To Prison But Morgan Stanley Customers Snooze And Lose
April 10, 2012 - Wachovia Somewhat Stiffed by Stifel Nicholas In $7 Million Raiding Case
April 5, 2012 - Arbitrators Award Damages For Misleading and Incomprehensible Trade Confirmation
April 5, 2012 - Merrill Lynch Savaged By FINRA Arbitrators In Historic Employee Dispute
April 5, 2012 - Cambridge Legacy Securities Loses $1.5 Million FINRA Limited Partnership Arbitration
April 3, 2012 - Weed Whacker Krittibas Ray Strikes Again As Defunct Brokerage Firm Ordered to Arbitrate Customer Claims
April 3, 2012 - ICON Wins About $700,000 But Loses Injunction Against Former Employee In FINRA Arbitration
March 30, 2012 - Firm Submits Erroneous Trade But Sues UBS For Its Failure To Cancel
March 28, 2012 - Merrill Lynch Asks Court To Rule That Sleeping FINRA Arbitrator Engaged In Misconduct
March 23, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - Broker Wins Expungement of Sleeping Dog Customer Complaint
March 20, 2012 - Morgan Stanley Loses Rip Van Winkle Promissory Note Case Against Employee
March 16, 2012 - Three Lawyers Later, Claimant Loses Trust Case Against Morgan Stanley
March 16, 2012 - Edward Jones Sought Injunction and Damages from Former Employee Who Joined Morgan Stanley
March 15, 2012 - Former Wachovia Employee Files $1.3 Million Forgivable Loan Arbitration Claim Against Firm
March 12, 2012 - Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000
March 9, 2012 - Arbitrators Award Over $2 Million for Unsuitable Tenants In Common Real Estate Transactions
March 9, 2012 - Wells Fargo and Former Employee Go Toe To Toe Over Promissory Note and Deferred Compensation
March 5, 2012 - TD Ameritrade Sued by Customer Over Failure To Exercise In-The-Money Options
March 1, 2012 - Raymond James Indie Office Managers Prevail Over Former Employee in FINRA Arbitration
February 29, 2012 - FINRA Arbitrators Grant Summary Judgment Against Claimant Employee in Citigroup Racial Discrimination Case
February 29, 2012 - Wells Fargo Advisors Wins Trainee Fees Arbitration For $25,000
February 24, 2012 - Wachovia Gave Customer With GM Stock Problem The Old Shuffle
February 23, 2012 - Former Chase Investment Services Employee Wins Six-Figure Defamation Award
February 23, 2012 - FINRA Arbitrators Hit Kovack Securities With Punitive Damages for A Broker's Egregious Behavior
February 22, 2012 - Arbitration Claimant Wins Case But Damages Smorgasbord May Have Hurt
February 15, 2012 - LPL Sued for $8 Million In Real Estate Investment Dispute
February 15, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - E*Trade Loses Inverness Medical Options Arbitration But Gains Offset
February 7, 2012 - FINRA Hits Merrill Lynch With Historic $1 Million Fine For Circumventing Mandatory Arbitration During Collection of Employee Promissory Notes
January 26, 2012 - Former Questar Employee Wins Over $3 Million in FINRA Defamation Arbitration
January 19, 2012 - FINRA Arbitrators Enjoin Brokerage Raid And Enforce Non-Compete
January 18, 2012 - Merrill Lynch Wins FINRA Mutual Funds Arbitration Involving Margin
January 18, 2012 - Discharged Wachovia Employee Wins Form U5 Expungement
January 4, 2012 - Arbitrators Say Deutsche Bank Securities Managing Director's Conduct Was Reprehensible
December 30, 2011 - Customer Settles Annuity Claim But Stockbroker Wins Expungement
December 29, 2011 - Former UBS Employee Sues Over U5 Failure to Disclose 2003 Termination
December 28, 2011 - Carl Kipper's Exoneration In The Springfield, Merrill Lynch, $14 Million CDO Mess
December 27, 2011 - In Citigroup Arbitration, A Falling Tide Stranded All Boats And Investments
December 27, 2011 - Merrill Lynch Wins Solicitation Injunction Against Former Employee
December 21, 2011 - Offsetting Fouls In Customer Renege Arbitration About September 2008 Market Crash
December 20, 2011 - Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
December 15, 2011 - Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo
December 9, 2011 - A Lot of Greif Between Investment Bank Employer And Former Employees
December 7, 2011 - Habla Espanol and No Finding of Misconduct in Chase / LPL Arbitration
December 2, 2011 - FINRA Arbitration Expungement for Wells Fargo Broker
December 2, 2011 - Lack of Communication About A Conservative Portfolio Ended In A FINRA Arbitration
December 1, 2011 - Former UBS Broker Sues Firm For $3.8 Million in Deferred Comp and Unused Vacation Time
November 29, 2011 - UBS Goes After Former Broker for Three Promissory Notes
November 29, 2011 - FINRA Arbitration Claimant's "Short" Dog Won't Hunt
November 24, 2011 - Pelican Holdings, Fleming Endowment and Morgan Keegan: A Blow By Blow FINRA Arbitration
November 22, 2011 - Merrill Lynch Wins Five-Year FINRA IRA Arbitration Saga
November 21, 2011 - FINRA Arbitrators Award Over $5 Million To Former RBC Employee
November 18, 2011 - Former Schwab Employee Lost Defamation Arbitration But Employer Gets Slammed By Panel
November 17, 2011 - Raymond James Wins Attorneys' Fees In Florida FINRA Arbitration To Recover On Employee Promissory Notes
November 11, 2011 - Citigroup Stockbroker Wins Expungement Even Though Customer Was Paid a Settlement
November 9, 2011 - The Ghost of Bear Stearns Raised in $59 Million FINRA ARS Arbitration Against JP Morgan
November 8, 2011 - Vivus Lost Wages : BioPharma Company's FDA Denial Slammed Investor With Margin Call
October 26, 2011 - Citi Smith Barney Customer Sues Over 2008 Failure to Sell Lehman Shares
October 19, 2011 - Cancelled FAZ Purchase Leads to MSSB Arbitration and Expungement
October 17, 2011 - UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
October 14, 2011 - JonesTrading Seeks $12.4 Million Damages Against Nomura Securities
October 14, 2011 - The FNMA Suitability Test: If my aunt were a man, she'd be my uncle
October 14, 2011 - Arbitrator Awards About One-Fifth of Training Fee Damages to Wells Fargo
October 13, 2011 - Stockbroker Wins Defamation Arbitration Against Former Employer
October 12, 2011 - Lehman Suffers First Loss in FINRA Arbitration Collection of Promissory Notes
October 12, 2011 - Stockbrokers Sue To Recover Unpaid Commissions
October 7, 2011 - TIC-ed Off Customers Sue Over Tenants In Common Investment
October 6, 2011 - A.G. Edwards Loses Training Fee Case to Pro Se Stockbroker
September 22, 2011 - Scottrade Exonerated For Inability to Deliver Suspended BCIT Shares
September 22, 2011 - Public Customer Gets Legg Mason Fund Settlement From Ameriprise But Broker-Of-The-Day Exonerated
September 19, 2011 - Two Grave FINRA Arbitrations Involving Deceased Customers of Edward Jones and MSSB
September 14, 2011 - No Show Employee Arbitration Claimant Sanctioned in Raymond James Case
September 9, 2011 - FINRA's Un-explained Arbitration Decision Awards Nearly $1 Million to Former TD Ameritrade Employee
September 8, 2011 - Fired RBC Customer Files Angry FINRA Arbitration
September 6, 2011 - FINRA Arbitrators Award Millions Awarded in Elder Abuse Case
September 1, 2011 - Oppenheimer Hit With $1 Million Damages in FINRA Arbitration
August 31, 2011 - FINRA Arbitrators Sanction Citigroup for Delayed Currency Conversion of Loonie to US Dollar
August 30, 2011 - ETRADE Broker Wins FINRA Flash Crash Exxon Arbitration -- Maybe, Sort Of?
August 23, 2011 - U5 Says "Discharged" But FINRA Arbitrators Say "Voluntarily Resigned"
August 23, 2011 - Employee Wins U5 Wrongful Termination / Defamation FINRA Arbitration
August 16, 2011 - Wells Fargo / Wachovia Loses Slam Dunk FINRA EFL / Promissory Note Arbitration
August 15, 2011 - Penson and Merrill Lynch Suffer Setbacks With Attorneys' Fees in FINRA Arbitrations
August 11, 2011 - UBS Admonished for Unilateral Decision to Close Kalamazoo Office in FINRA Promissory Note Arbitration
August 4, 2011 - Employee Forgivable Loans (EFL) and Wall Street Promissory Notes (PN) Round-up
August 4, 2011 - In a Consolidated FINRA Intra-Industry Employment Case, Arbitrators Blast Both Parties
August 2, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - Gusrae Kaplan Bruno & Nusbaum's Marty Russo Wins $8.1 Million FINRA Reit Arbitration
July 23, 2011 - Former WaMu Brokers Prevail in FINRA Arbitration Solicitation Case
July 22, 2011 - TWO Explosive "Street Sweeper" Blogs Now Online
July 21, 2011 - Pro Se Broker Claimant Wins FINRA Arbitration In Wrongful Termination Case
July 18, 2011 - FINRA Arbitrators Recommend Expungement of "Clearly Erroneous" Customer Allegations
July 14, 2011 - How Many FINRA Arbitrators Does It Take To Throw A Flag?
July 13, 2011 - Claimants' Non-Lawyer Representative Muzzled by FINRA Arbitration Panel
July 13, 2011 - Citigroup Says it Overpaid Former Managing Director -- he disagrees in FINRA Arbitration
July 8, 2011 - Merrill Hit With Delayed Discovery Sanctions in FINRA Customer Arbitration
July 1, 2011 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - Employer Sues Employee in Mirror-Image FINRA Arbitration
June 28, 2011 - $2 Million RBC FINRA Employment Arbitrations: Did Everyone Lose?
June 28, 2011 - The Art of Fine Tuning FINRA Arbitration Damages: The $75 Million Claim
June 27, 2011 - Individual Broker Wins FINRA Employment Arbitration Against Citigroup Global Markets
June 21, 2011 - Merrill Lynch Crushed In Promissory Note Case By Employee Seeking $13.2 in Damages
June 17, 2011 - FINRA Arbitrators Award $575,000 Punitive Damages to Defamed Broker
June 15, 2011 - FINRA Arbitrators Award Morgan Stanley Smith Barney Brokers $4 Million Against Former Employees in Protocol Case
June 13, 2011 - FINRA Arbitration Panel Re-Writes Defamatory Form U5 of Terminated Chase Employee
June 10, 2011 - Unnamed UBS Brokers Demand Expungement in FINRA Arbitration
June 2, 2011 - US Airways Takes Off With $15 Million Auction Rate Securities Victory in FINRA Arbitration
June 2, 2011 - Merrill Lynch Says Late Is Not Better Than Never
June 1, 2011 - Penson Faced Multi-Million Dollar Day-Trading Claim in FINRA Arbitration
June 1, 2011 - FINRA Arbitration Win for LPL in Promissory Note and Rep Agreement Case
May 28, 2011 - Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011 - Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011 - Merrill Lynch Arbitration Shows Unique Impact of Baby Boomers
May 24, 2011 - Estate Sues BD and Broker Over Lawyer's Designation of Ex-Wife as IRA Beneficiary
May 17, 2011 - Mother Sues Merrill Lynch Over Daughter’s Guardianship
May 16, 2011 - The Train Leaves the Station for One Tardy FINRA Customer Claim
May 13, 2011 - FINRA Arbitrators Award Two Women Over $1 Million for Sexual Harassment
May 11, 2011 - UBS's Costly (or somewhat) Runaround of Client
May 2, 2011 - Miscommunication and Misunderstanding in Edward Jones FINRA Arbitration
May 2, 2011 - Wells Fargo Scrambles Clients' Nest Egg. Bill Singer on Marketplace (NPR)
April 29, 2011 - Piper Jaffray, Morgan Stanley, and an Employee Can't Seem to Settle Down
April 21, 2011 - A Battle Royal for Terminated Merrill Lynch Employees (and one wife)
April 21, 2011 - Wells Fargo Crushed in FINRA Retention Award Arbitrations
April 19, 2011 - Public Customers Take Citigroup to the MAT for $54 Million in FINRA Arbitration Damages
April 14, 2011 - On the Precipice: Morgan Stanley, Citigroup, and an Unhappy Broker
April 7, 2011 - Public Customer Throws in the Towel Against Former Morgan Stanely Stockbroker in FINRA Arbitration.
April 5, 2011 - Former Employee Settles Promissory Note Case with Morgan Keegan
March 31, 2011 - Fidelity and Morgan Stanley Smith Barney Settle FINRA Arbitration
March 28, 2011 - FINRA Arbitration: Veni, Vidi — but a split Vici.
March 14, 2011 - Wells Fargo / Wachovia Loses Stunning Retention-Award Case Against Former Employee
March 11, 2011 - Wachovia / Wells Fargo Loses Stunning Retention-Award Case Against Former Employee
March 9, 2011 - Registered Rep Magazine's "Street Legal" Column Now Online. The saga of a bankrupt broker
March 7, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011 - Chase Investment Services showed "colossal lack of foresight and attention"
March 3, 2011 - Claimant Sues RBC for $37 Million -- BUT FINRA Arbitration Panel Whacks Him for $1.8 Million
February 23, 2011 - Hughes v. Cantor Fitzgerald: Is there a winner?
February 18, 2011 - High Noon for 113 Former Lehman Employees
February 14, 2011 - An Open or Shut Forgivable Loan Case Vexes UBS
February 2, 2011 - Wells Fargo Loses Defamatory U5 / Promissory Note Arbitration
January 31, 2011 - Thar Be Monsters -- FINRA Raiding Case Ends With Odd Ruling
January 26, 2011 - FINRA Arbitrators Hit Firm for Failure to Supervise
January 18, 2011 - This Little Piggy(back) Ran All The Way to Arbitration
January 6, 2011 - FINRA Arbitrators Hit Securities America with Punitive Damages in Medical Capital Notes Case
January 5, 2011 - UBS Gets Shellacked in Breach of Contract Case
January 3, 2011 - Invesco Arbitrates Termination of (Non-?) Employee
January 3, 2011 - ARS Gratia Artis? Brokerage Wins Auction Rate Securities Arbitration
January 3, 2011 - Morgan Stanley's Nervous 401k Client
December 28, 2010 - Wachovia Whacks Former Broker in Promissory Note Case
December 16, 2010 - Bill Singer's Street Legal Column (Registered Rep Magazine) and Street Sweeper Column (Forbes) Now Online
December 2, 2010 - Investacorp and Ladenburg Thalmann Named in Multi-Million FINRA Employment Dispute
November 22, 2010 - Unnamed FINRA Arbitration Respondent Wins Expungement -- What??
November 17, 2010 - Customer Loses FINRA Arbitration Over VALIC IncomeLOCK Annuity Option
November 10, 2010 - Ya Win Some, Ya Lose Some: Customers Sue Brokers Over Tax Bills.
November 8, 2010 - Former Employee Wins Over $5 Million Against Sterne, Agee & Leach.
November 3, 2010 - Schwab Plays With Fire and Gets Burned in Intra-industry Arbitration
October 26, 2010 - Bartleby the Scrivener Sues Banc of America Investment Services (an esoteric literary reference!)
October 24, 2010 - Customer Sues Stockbroker But Later Says He Doesn't Blame Him
October 21, 2010 - Whistleblower Wins FINRA Arbitration
October 20, 2010 - Former Joint Producers Sue Each Other
October 18, 2010 - Take It Or Leave It -- FINRA Arbitrator Calls Wells Fargo's Conduct Unconscionable.
October 15, 2010 - Cowen's Faithless Servant -- FINRA Arbitration Panel Says Gimme a Break
October 12, 2010 - Major Anthony Nelson Rubs Lamp and Gets His Wish: Over $11 Million Arbitration Victory!
October 7, 2010 - Wife Defrauded By Husband's Forgeries Sues Citigroup
October 7, 2010 - FINRA Arbitration Panel Awards $1 Compensatory Damage Against Former Employee
September 27, 2010 - FINRA Panel Imposes Punitive Damages - Another Lost Generation for Wall Street Reform.
September 22, 2010 - Jesup & Lamont Loses FINRA Arbitration Over Defamation -- What Goes Round, Comes Round?
September 21, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - Dead Man Talking
September 14, 2010 - $10.7 Million FINRA Arbitration Award Against Rodman & Renshaw Former Employee.
September 2, 2010 - Former Ameriprise Employee Says Firm Lied to Him -- and FINRA Panel Forgives Promissory Note Debt
September 1, 2010 - Wells Fargo / Wachovia Wins And Loses Against Former Employee
August 25, 2010 - Spousal Cases: Till FINRA Do Us Part?
August 24, 2010 - A Nasty Partnership Split
August 17, 2010 - A Mother and Son's Real Estate Deal Goes Sour.
August 16, 2010 - One FINRA Arbitration.Three Respondents. Three Different Outcomes.
August 16, 2010 - Registered Rep. Magazine: Bill Singer's August
August 12, 2010 - TIAA-CREF and Wachovia in 529 Plan FINRA Arbitration
August 11, 2010 - Two Margin Wrongs Equal One Right?
August 6, 2010 - UBS Loses $80 Million ARS Arbitration
August 4, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - You Snooze, You Lose -- FINRA Arbitration Deemed Too Old to Proceed
August 2, 2010 - Last Man Standing Gets An Expungement
July 30, 2010 - FINRA Panel Rules Against Wells Fargo / Wachovia -- but was it a victory or loss?
July 28, 2010 - FINRA Arbitration Case: The $21 Million Broker Recruiting Protocol Claim
July 26, 2010 - FINRA Arbitration Panel Hits Losing Customer Claimants With Sanctions
July 14, 2010 - A Pro Se Respondent and a Lawyered-Up Respondent: Similar Cases -- How did they fare?
July 6, 2010 - Broker Loses EFL / Promissory Note Arbitration But Wins Dramatic Counterclaim
June 24, 2010 - A Hobson's Choice For Pro Se Respondents in FINRA Arbitrations
June 21, 2010 - Public Customer Wins FINRA Arbitration But Comes Out a Loser
May 26, 2010 - UBS Wins $800,000 Against Former Employee, Who Wins $300,000 Against UBS.
May 20, 2010 - An Inexplicable FINRA Customer Arbitration. RRBDlaw.com Cases of Note Now Online!
May 19, 2010 - Let's All Settle Down: Former Employer and Employee Work It Out At the Last Minute
May 6, 2010 - An Instructive Employee Promissory Note Case (FINRA Arbitration Case)
May 6, 2010