Oct 28 (Reuters) - In a rare move, a securities arbitration panel sided with a broker who alleged UBS AG had hurt his business model and team, although the broker also has to return bonus money. Sign ...

Morgan Stanley recently lost two arbitration cases with former brokers, resulting in million-dollar awards for the disgruntled reps. The arbitration panels found Morgan Stanley to have wrongfully ...

A Southern California registered representative and a broker-dealer executive on Monday lost an arbitration claim of a little more than $1 million in damages to an investor who bought GWG Holdings Inc ...

Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party ...

Both GunnAllen Financial Inc. and a former top executive are claiming victory after a lengthy arbitration battle that focused on whether the independent broker- dealer had the right to fire David ...

WASHINGTON — If you have a beef with your broker and you go to arbitration, you’ll be less likely to win. And if you do come out a victor, the amount you recover won’t be nearly as much as you wanted, ...

(Reuters) - A U.S. Labor Department plan to require best-interest contracts from retirement account brokers would make it easier for investors who try to recoup money for losses by pinning the blame ...

WASHINGTON (CBS.MW) -- The Supreme Court said it would hear a case on whether arbitrators, rather than judges, can decide when securities firms can resolve disputes with their customers through ...

WASHINGTON — Federal regulators have approved changes to the brokerage industry’s code governing arbitration used to resolve customer complaints against brokerages and other securities-industry ...

If your broker has lost your money, it may not really be lost. In some cases, arbitration is possible. WSJ's Jason Zweig explains the recourse investors have if they feel their broker's specific ...

Let's face it, few people enter a business relationship thinking it will go south. But when it happens in the brokerage industry, the experience can be particularly jarring, as advisors find ...

Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party ...