FINRA 'secret agreement' investigation probes Wells Fargo case
An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
Source: americanbanker.com
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Wells Fargo: There is No Secret FINRA Agreement
Wells Fargo appealed a Georgia judge's overturning an arbitration originally in its favor, arguing there was no evidence of a "secret agreement" with FINRA.
Source: wealthmanagement.com
Decade-Old Arbitration Dustup Continues to Haunt FINRA
Sen. Elizabeth Warren and Rep. Katie Porter are pressing the regulator after a Georgia judge called the fairness of its arbitration process into question.
Source: wealthmanagement.com