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Legislation faces uphill battle in Congress, but the issue may become popular on the presidential campaign trail.
The lottery winner, James Groves, was awarded $3.3 million, and Asante Samuel, who retired in 2013 after an 11-year career with the New England Patriots, Philadelphia Eagles and Atlanta Falcons, will receive $879,000.
Latest rule tells arbitrators that expungement should be a 'rare remedy.'
PIABA suggests brokerages fund a pool or Finra pay for shortfalls with fines, while FSI asks regulators to ban offenders from all corners of industry.
Six Cetera broker-dealers allege the insurer will be breaching its contractual obligations by withholding millions of dollars in trail commissions from their brokers.
Terrence R. Puricelli was fired in 2016 over concerns of the accuracy of notes in the firm's system.
This is the first known arbitration filed against the insurer for its decision on variable annuity commissions.
IMS Securities withdrew its Finra registration in 2017, and was expelled from the industry this year.
The award follows a similar award last month when former Credit Suisse broker Brian Chilton was awarded $844,621 in deferred compensation.
Research shows false accusations of broker misconduct are disturbingly common, which suggests Finra needs to make a change.
Even when Finra arbitrators decide that a firm reported inaccurately on a broker's dismissal, they rarely award monetary damages.
Award is the largest penalty for UBS involving the Caribbean island to date.
In a Finra arbitration complaint, two brokers allege that Wells Fargo's problems damaged their business.
Brian Chilton moved to Morgan Stanley instead of Wells Fargo after Credit Suisse closed brokerage business.
Judge rules that John Lockette was bound by a company policy requiring employees to arbitrate all claims.
Arbitration lawyers assert changes would create regulatory 'black hole.'
James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.
Dairy farmer clients' $1.5 million portfolio incurred $1.3 million in trading costs, but will they be able to collect?
Neither Texas E&P Partners nor principal Mark Plummer showed up for hearing to answer investor's charges of gross negligence and recommending unsuitable investments.
Joe Voboril is seeking $20 million in damages for wrongful termination.