Academic

Reps With Promissory Note Claims Defenses And Counterclaims Should Be Aware Of Their Options Under Newly Revised FINRA Arbitration Procedures
FINRA has just amended its rules regarding disposition of promissory note claims that are filed in arbitration. According to a FINRA release, FINRA is amending its Code of Arbitration Procedure for Industry Disputes to establish new procedures for administering cases...

Investor Wins FINRA Award In Schwab YieldPlus Claim
On June 26, 2009, a Washington, D.C., arbitration panel of the Financial Industry Regulatory Authority (FINRA) ruled in favor of investor David Cutler and his claim (FINRA No. 09-00300) against Charles Schwab & Company and its Schwab YieldPlus Fund...

Is Retail Securities Arbitration Dying
Most people that engaged a financial advisor employed by a FINRA (formerly NASD) broker-dealer and all registered representatives signed something containing a mandatory arbitration clause...

Merrill socked with $39.8 million arbitration award
A FINRA arbitration panel hit Merrill for 39.8 million dollars for a claim arising from it's Advest brokerage unit.According to InvestmentNews.com, the award arises from conduct at Advest before Merrill's purchase of the firm, but the award is against Merrill...

FINRA Hands Win To Investor In Case Against Stifel Nicolaus
On March 23, 2009, a St. Louis, Missouri, FINRA arbitration panel awarded investor Philip Rein $220,944 plus interest on his claims of fraud, breach of fiduciary duty and negligence against Stifel, Nicolaus & Company...

Securities Arbitration :: The Law Planet Blog
Marc Dobin at The Law Planet comments on a FINRA Arbitration award where the panel not only denied the claims, it also assessed all forum fees against the claimant....and her attorneys...

The Goldman Sachs Group, Inc.
401k / ERISA Stock Fraud

Goldman Sachs Agrees $550 Million Civil Suit Settlement
$550 Million Fine Against Goldman Sachs

Female Employees Sue Goldman Sachs for Sex Discrimination
Female Employees Sue Goldman Sachs for Sex Discrimination

Goldman Sachs
Agrees $60 Million Subprime Settlement in Massachusetts

Goldman Sachs Faces Fraud Charges
Goldman Sachs Faces Fraud Charges

Darvocet
FDA Expert Panel Votes for Ban