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Investment Adviser › Arbitration Awards

UB Greensfelder LLP

Filing A Frivolous Customer Arbitration Carries Real Monetary Risks

UB Greensfelder LLP on

While the FINRA arbitration system certainly is not perfect – just see Alan’s troubling blog from last week regarding the Motion to Vacate that was granted by a Judge in Atlanta – we like to think that when cases go to...more

UB Greensfelder LLP

TD Ameritrade Latest Victim Of Head-Scratching Arbitration Award

UB Greensfelder LLP on

I was catching up on my reading and came across a column in Investment News by Mark Schoeff that described the results of a recent FINRA arbitration, results which I found a bit alarming. I caution you: reading too much into...more

Bass, Berry & Sims PLC

Chris Lazarini Examines “Fair and True” Reporting of Judicial Proceedings

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini examined a case in which a SEC registered investment advisor sued for defamation and intentional interference with contractual relations after The Wall Street Journal published an...more

Bass, Berry & Sims PLC

Chris Lazarini Analyzes Presumption of Fraud in Case Involving Advisor's Effort to Avoid Paying a Promissory Note

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon his departure. After the...more

Farrell Fritz, P.C.

Court Confirms Arbitration Award Against Respondent Who Failed to Check Her Mail

Farrell Fritz, P.C. on

A recent decision out of the Suffolk County Commercial Division underscores the importance of staying on top of your mail if you plan on leaving New York for an extended period of time....more

Carlton Fields

Alabama Supreme Court Reverses Arbitration Award Where Arbiter Failed To Make Required Disclosures

Carlton Fields on

In a case involving a dispute between a not-for-profit corporation administering a self-insured group workers’ compensation fund and their investment advisor and broker-dealer, the Supreme Court of Alabama granted the fund’s...more

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