35 results

• Arbitration Claims Filed Over UBS Puerto Rico Bond Funds

  December 18, 2013

  Irvin Jackson

  UBS faces arbitration claims alleging it mislead investors about the safety of Puerto Rico bond funds as the company launches a buyback program to address complaints.

• Puerto Rico Bond Losses May Lead to Investor Lawsuits Against UBS

  October 21, 2013

  Irvin Jackson

  UBS and other firms face FINRA arbitration lawsuits over Puerto Rico municipal bond funds, which have lost significant value.

• Schwab Lawsuit Restrictions Lifted Amid Debate Over Class Action Ban

  May 20, 2013

  Irvin Jackson

  As legal challenges continue over Charles Schwabs requirement that clients waive their right to file class action lawsuits, the brokerage...

• FINRA Increased Fines, Actions Against Financial Firms in 2012: Study

  March 22, 2013

  Irvin Jackson

  The non-governmental regulatory authority used to police the financial industry increased disciplinary action against financial firms last year and hit...

• FINRA Arbitration Process for Claims of $10M or More Launched

  July 11, 2012

  Ricky Allen

  A new pilot program has been launched by the Financial Industry Regulatory Authority (FINRA), in hopes of better managing large...

• Merrill Lynch Deferred Compensation Lawsuits Likely to Follow $10M Award

  June 20, 2012

  Irvin Jackson

  After an arbitration panel awarded more than $10 million to two former Merrill Lynch brokers in a deferred compensation lawsuit,...

• Investor Awarded $1.95M Against Morgan Keegan Over Bond Funds

  February 24, 2012

  Staff Writers

  A Birmingham investor has been awarded $1.95 million in a stock broker arbitration claim against Morgan Keegan & Co., in...

• More UBS Arbitration Claims Over Lehman Notes Likely Following Bankruptcy

  November 2, 2011

  Staff Writers

  Financial fraud lawyers are expecting an influx of arbitration claims against UBS Financial Services following an announcement that holders of...

• David Lerner Associates Arbitration Lawsuits Filed Over Apple REITs

  June 8, 2011

  Staff Writers

  A complaint has been filed by federal regulators against David Lerner & Associates, Inc. for selling Apple REIT Ten non-traded...

• UBS Settlement Over Lehman Brothers Notes Results in $8M Payment

  April 14, 2011

  Staff Writers

  UBS Financial Services Inc. has been ordered to pay $8.25 million in restitution for misleading investors on the security of...