FINRA proposal to overhaul arbitrator selection
Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.
Source: financial-planning.com
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Ga. Appeals Court Revives Wells Fargo's FINRA Arbitral Award
The Georgia Court of Appeals has overturned a controversial ruling by a state trial judge who vacated an arbitration award in favor of Wells Fargo and prompted the Financial Industry Regulatory Authority to launch an independent review of its arbitration system.
Source: law360.com
Appeals Court Reverses Ruling Alleging 'Agreement' in Arbitration Case
The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo.
Source: wealthmanagement.com
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
Report Finds "No Evidence" of Agreement Between Wells Fargo and FINRA
A law firm FINRA hired to investigate a Georgia arbitration dispute found 'no evidence' of a secret agreement between Wells Fargo counsel and FINRA.
Source: wealthmanagement.com