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San Jose Mercury News
Denise Day knew she needed help managing $1.4 million in cash and stock options she received in her divorce. So, like many investors, she turned to a broker for advice. Just over a year later, she’s filed to take her broker to arbitration, alleging she lost almost everything when he handled her investments more aggressively […]
Los Angeles Business Journal
The recent conclusion of a couple of high profile arbitration cases raises the question: Will Wall Street be inundated with investor arbitration claims contending that brokerage analysts did them wrong? Will investors en masse charge that stockbrokers, following the recommendations of brokerage analysts, herded them into lousy stocks, benefiting not the investor but the brokerage’s […]
Kansas City Star
Barbara Kreimer, 75, had planned for her investments not only to provide for her growing health-care needs but also to leave a tidy sum to support her mentally impaired adult son after she died. So when her health began failing last fall, she considered tapping into her investments. But she was stunned to learn from […]
Los Angeles Times
Investors who were seeking $1.75 million in compensatory damages against Goldman Sachs Group and one of its stock analysts have been awarded a fraction of what they sought, a possible setback to investors who might expect large awards in the growing number of cases against analysts. In a decision released Thursday, an arbitration panel awarded […]
PR Newswire
Anthony Schultz, a thirteen year employee of CISCO Systems, Inc. (Nasdaq: CSCO – news) filed an arbitration with the National Association of Securities Dealers against Salomon Smith Barney, Inc, a unit of Citgroup, Inc. (NYSE: C – news) alleging that his broker failed to inform him of the availability of hedging strategies to protect his […]