Author Archives: Michael Doss
FINRA’s Capital Acquisition Broker Rules Face Tough Sell
Under newly approved Financial Industry Regulatory Authority rules, brokerages that engage in limited activity, such as advising certain private ...
Finra panel directs UBS to pay $750000 for Puerto Rico investment damages
The Finra arbitration awards that UBS must pay investors for alleged negligence relating to Puerto Rico's debt crisis have continued to climb this year.
Aidikoff, Uhl Bakhtiari Announces the Filing of a FINRA Arbitration Claim Seeking More than $1.1 …
12, 2016 -- Aidikoff, Uhl & Bakhtiari announces the filing of a FINRA arbitration seeking more than $ million and its continuing investigation of the ...
Advisers’ arbitration rights reaffirmed in comp spat with Credit Suisse
Weeks after FINRA put firms on notice that brokers always have the right to take disputes to the regulator's arbitration forums, Credit Suisse has ...