The Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It's a bit like a sci-fi heroine finding herself in an ...

A former financial advisor who was barred from the industry in 2023 and is in the middle of at least one contentious Finra industry arbitration involving alternative investments and private placements ...

Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...

Many advisers who have been involved in arbitration cases are welcoming a move to give investors the option of having all-public arbitration panels. But plaintiff's attorneys fear that the pilot ...

Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...

A new proposal from FINRA would change the arbitration process for broker expungement cases. The latest FINRA proposal on removing client complaints from brokers' records is setting up a rulemaking ...

Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with Wells Fargo to manipulate the ...

Learn about mandatory binding arbitration, its process, pros and cons, costs, and how it compares to court trials. Find out why some prefer trials for better outcomes.

Arbitration and litigation are two ways to resolve legal disputes. Arbitration is a private process in which the parties present their cases to one or more arbitrators who make a final decision. It is ...

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...