Category Archives: FINRA Arbitration
What is FINRA?
With so many regulatory bodies, it can be easy to become confused about which organization is responsible for which tasks. FINRA, the Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers, is one of those regulatory bodies. What does FINRA do, and how does it compare to the Securities and Exchange Commission?… Read More »
Ex-Wells Fargo Advisors Employee Wins Promissory Note Arbitration
A FINRA arbitration panel in New York City last week denied Wells Fargo Advisors’ claim against a former employee, Evan A. Sall, for breach of a promissory note. Wells Fargo Advisors filed the arbitration in 2013, seeking $77,693, plus interests, costs, and attorneys’ fees for the balance of the unpaid promissory note. Sall joined… Read More »
