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Award Survey: Top BDs of 2017 – Part II: Use of Counsel
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In SAA 2018-24, we identified the four broker-dealers (BDs) with the largest presence in securities arbitration, with special emphasis on their Customer-Member Awards. This week,

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Award Survey: Top BDs of 2017 – Part I
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In this two-part survey, the latest in our series on 2017 Awards, we focus on the broker-dealers (BDs) with the largest number of Awards issued that year;

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Explained Award: Jones vs. American Portfolios Financial Services Inc.
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JONES v. AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC., FINRA ID #17-01414 (Baltimore, MD, 4/13/18).

This 20-page Award, involving a broker who became a beneficiary of his client’s Will,

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SEC Discusses “Regulation Best Interest” for BDs and Standards of Conduct for RIAs at Open Meeting: “Reg Status Quo”?
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As we previewed in SAA 2018-14, the five sitting Commissioners of the Securities Exchange Commission held an open meeting April 18 at 3:30 PM on several issues that have begged for consideration for years.

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Gherardi vs. Citigroup Global: A Look Behind a Wrongful Termination Award
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GHERARDI v. CITIGROUP GLOBAL MARKETS, INC., FINRA ID #16-01001 (Miami, FL, 2/28/18).

Behind almost all Awards is a story twice told – once by the claimant and the second time by the respondent,

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The Broker Protocol: Reflecting Forward with a Look-Back To Its Beginnings
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No sign of the times could more surely signal that tectonic shifts have occurred in the securities marketplace than the decisions by Morgan Stanley and UBS Financial Services (and to a lesser degree,

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