Arbitration

Posts In Arbitration

Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages Oct 19
With nearly $1.8 million in settlements and judgments to his name, former Morgan Stanley (Westlake ...
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Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute Apr 30
A preliminary determination by FINRA recommends disciplinary action be brought against Los ...
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Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors Apr 13
FINRA filed a complaint against former IFS Securities (Grass Valley, CA) broker Steven Douglas ...
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While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
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Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues Mar 12
Three Advisor Group broker-dealers—Royal Alliance Associates, SagePoint Financial, and FSC ...
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Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean Sep 19
Barred by FINRA in 2018, former Voya Financial Advisors broker James Travis Flynn aka Jim Flynn's ...
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