Tag: Financial Industry Regulation Authority

• Professional Liability

  FINRA Complaints – 5 Steps to Responding

  • July 20, 2016
  • By Allen & Gooch

  5 Steps For Financial Professionals to Take When Facing FINRA Complaint With the rise of BrokerCheck, it is more important than ever that brokers and financial advisors maintain a clean record. Complaints by clients can show up on BrokerCheck and create a shadow on the financial professional’s integrity, making it significantly more difficult to market […]

• Business Litigation

  Arbitration Strongly Favored by Louisiana Third Circuit Court

  • November 8, 2013
  • By Allen & Gooch
  

  Arbitration Decisions Often Binding Under Louisiana Law In Detraz v. Banc One Securities Corp., et. al., 2013-191 (La. App. 3 Cir. 10/9/13), — So.3d —, the plaintiff appealed the trial court’s confirmation of an arbitration award. The Appellate Court affirmed the decision of the Fifteenth Judicial District Court highlighting the binding nature of arbitration decisions […]