Tag: FINRA award
FINRA Arbitrator favors Broker in claim against Merrill Lynch
FINRA Arbitrator Recommends Expungement after Merrill’s U5 Notice Shows ‘Reckless Disregard for the Truth’ A FINRA arbitrator has...
FINRA AWARD: Wells Fargo to pay $40,000 to Nevada investor
FINRA Panel finds Wells Fargo Violated Nevada’s New Fiduciary Rule According to an article in the Wall Street Journal this week, a Nevada...
Investor Wins FINRA Award for Unsuitable Energy Investments
FINRA Arbitration Award for Unsuitable Investments According to Investment News, an investor won a $357,000 FINRA arbitration award against...
Award Against Merrill Lynch Involving Broker Phil Scott
According to the Investment News, clients of a prominent Bank of America Merrill Lynch have won an $880,000 arbitration award against the...
