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Terminated Manager Free to Challenge Highland Capital in Arbitration
11/6/2016 10:34:05 AM
Description: One of Highland Capital Management LP’s former portfolio managers is free to force the company into arbitration regarding his claims of undue termination. He believes he was fired after he questioned the firm’s illegal self-dealing with


Millions of Dollars Owed to Investors in FINRA Settlements Going Unpaid
3/10/2016 5:37:32 PM
Description: According to attorneys from the Public Investors Arbitration Bar Association, FINRA is doing a terrible job helping investors collect their arbitration awards owed to them by their brokers. Information from a recent PIABA report shows there are at


UPS Employee Receives FINRA Award
2/21/2016 6:08:13 PM
Description: A UPS worker represented by the Securities Arbitration law Firm of Klayman & Toskes, PA received a victory recently when it won a $2.25 million award versus Citigroup Global Markets concerning FINRA securities arbitration. The arbitration panel


Non-FINRA Arbitration Pact Could Be Enforced by Credit Suisse
2/13/2016 4:49:06 PM
Description: According to a ruling from the US Court of Appeals for the Second Circuit, a team of financial advisors who previously worked with Credit Suisse Securities LLC needs to arbitrate an employment-related dispute before a private arbitration panel, as


Favorable Arbitration Ruling Overturned by Oklahoma Court
9/17/2014 10:06:58 PM
Description: Despite coming out the victor in his arbitration proceeding against a brokerage firm, investor Steven Admire sought to overturn the decision.  His reason was simple: He felt the $9,900 award ordered by the arbitrator was much too small. 


Ernst & Young Excused from Blame by Arbitration Panel in Collapse of Lehman Brothers
8/18/2014 9:12:29 PM
Description: Nearly six years after the investment firm Lehman Brothers collapsed during the first onslaught of the global economic crisis, the accounting firm Ernst & Young, which audited the investment firm’s books, has been cleared of accusation of


New Arbitration Task Force to Assess FINRA Arbitration Processes
7/25/2014 1:28:23 PM
Description: The Financial Industry Regulatory Authority (FINRA) has announced the formation of a 13-member Task Force to review and propose enhancements and improvements to FINRA’s current securities arbitration forum.   The task force includes


FINRA Proposes Rule Change to SEC
2/10/2014 12:44:30 PM
Description:   The Financial Industry Regulatory Authority (FINRA) has proposed a rule change for arbitrators involved in securities disputes that would allow them to refer a case to FINRA’s enforcement division even in the midst of an arbitration


Mandatory RIA Arbitration Raising Concerns Among Consumer Advocates
10/8/2013 2:19:06 PM
Description:   While brokers have long used arbitration clauses to protect their reputation in the wake of failed investments and unhappy investors, investment advisers are now following suit, sparking a wave of controversy from consumer advocates. 


Former K&L Gates Partner’s Dispute Ordered to Arbitration
9/26/2013 7:10:07 AM
Description:   Robert Ted Parker, an attorney formerly employed by the firm K&L Gates, must now take his case to arbitration, according to a recent ruling by the District of Columbia Court of Appeal.  This news was disappointing to Parker, who