An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Efl (32 results)
- Lehman Brothers In Bizarre FINRA Promissory Note Cases
April 30, 2013 - Wells Fargo Wins FINRA Hostile Work Environment Promissory Note Arbitration
April 29, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - Lehman Brothers Loses Promissory Note Collection Case
March 8, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - Morgan Stanley Wins Promissory Note Case Against Former Broker
January 31, 2013 - Ameriprise Wins Employee Promissory Note Case
January 24, 2013 - Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
October 24, 2012 - Lehman Brothers Cited For Repo 105 In Promissory Note Case
October 3, 2012 - Lehman Brothers Sought $159,000 Repayment Of Promissory Note From Former Broker But Gets Zippo
September 13, 2012 - Former Morgan Stanley Smith Barney Employee Wins Promissory Note Arbitration
August 21, 2012 - Lehman Largely Wins A Promissory Note Collection Case In FINRA Arbitration
June 25, 2012 - Employee Loses But Sort Of Wins Twilight Zone Promissory Note Arbitration Against Citigroup And Morgan Stanley
June 13, 2012 - Lehman Loses Another Promissory Note Collection Case
June 11, 2012 - Lehman Brothers Loses Another FINRA Promissory Note Collection Case
May 7, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - Morgan Stanley Loses Rip Van Winkle Promissory Note Case Against Employee
March 16, 2012 - Former Wachovia Employee Files $1.3 Million Forgivable Loan Arbitration Claim Against Firm
March 12, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - Wells Fargo / Wachovia Loses Slam Dunk FINRA EFL / Promissory Note Arbitration
August 15, 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 - Losing the Battle of the Water Cooler: UBS's Promissory Note Arbitration Against Former Employee
June 3, 2011 - FINRA Arbitration Win for LPL in Promissory Note and Rep Agreement Case
May 28, 2011 - Wachovia Whacks Former Broker in Promissory Note Case
December 16, 2010 - A Closed Branch Shuts Door On UBS's Claim for EFL / Promissory Note Repayment
November 23, 2010 - Lehman Seeks to Collect Unpaid Loan Balances -- And Its Former Employees Are Furious
November 19, 2010 - Wachovia Wins Promissory Note / Bonus Retention Arbitration in Market-Timing Case
October 8, 2010 - Registered Rep. Magazine: Bill Singer's August
August 12, 2010 - Another Pro Se Respondent Settles a Promissory Note Case
August 10, 2010 - Let's All Settle Down: Former Employer and Employee Work It Out At the Last Minute
May 6, 2010