FINRA Arbitration In 2026 And Beyond: Key Trends, Notable Awards, And The Road Ahead
The FINRA arbitration forum remains the primary venue for resolving disputes between investors and the broker-dealers and investment advisers who…
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Mandatory FINRA Arbitration Is Under Attack Again
Mandatory pre-dispute arbitration agreements ("PDAA's") have long been under fire but now face potential extinction. Congress’s latest attempt to eliminate…
Read MoreMANDATORY FINRA ARBITRATION- IS THE END IN SIGHT?
In the seminal, 1987 decision of Shearson v. McMahon, the U.S. Supreme Court decided that pre-dispute agreements to arbitrate securities…
Read MoreSecurities Law Update: The “Completely Irrational” Standard for Reversing Legal Error in FINRA Arbitration
For those entrepreneurial enough to form, own and operate a successful RIA firm, while there is great satisfaction in being…
Read MoreCalifornia FINRA Lawyers: The Growing Problem of Unpaid FINRA Arbitration Awards
While FINRA arbitrations were intended to provide investors and industry members a quick and relatively inexpensive procedure by which to…
Read MoreFINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS
The Securities and Exchange Commission (SEC) approved amendments to [...]
Read MoreSmaller Brokerage Firms Failing to Pay FINRA Arbitration Awards
In a concerning trend, Investment News recently reported that smaller brokerage firms are increasingly walking away [...]
Read MoreMorgan Stanley Loses $34 Million FINRA Arbitration
A California FINRA arbitration panel ordered Morgan Stanley, a branch manager and its former superstar broker, Ami Forte, to pay…
Read MoreFSC Securities Corp Hit With $1.28 Million FINRA Arbitration Award Arising Out Of Ponzi Scheme Featured On “American Greed”.
FSC Securities Corp. has been assessed $1.28 million by a FINRA arbitration panel for losses sustained by several investors who…
Read MoreFINRA Arbitration Panel Finds Morgan Stanley Promissory Note Unenforceable
After a three year litigation between Morgan Stanley and its former advisor, John Offenburger, a FINRA arbitration panel recently held…
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