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Financial Advisor IQ - Content Page

Financial Advisor IQ - Content Page
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Appeals Court Reverses Ruling Alleging Agreement in Arbitration Case

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.

Report Finds No Evidence of Agreement Between Wells Fargo and FINRA

FINRA Publishes Independent Counsel s Report On Arbitrator Selection Process - Report Finds No Evidence Of Improper Agreement To Remove Arbitrators From Cases - FINRA To Implement Recommendations To Provide Greater Transparency

<p><span>FINRA today published&nbsp;</span><a href="https://www.finra.org/rules-guidance/guidance/reports/report-independent-review-finra-dispute-resolution-services-arbitrator-selection-process">the report</a><span>&nbsp;of independent counsel Lowenstein Sandler LLP, which found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. FINRA also said it would promptly implement the report&rsquo;s recommendations to provide greater transparency to the arbitrator selection process.</span></p>

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