Suzanne Barlyn – Page 2

Wall St. tactic for fighting investor claims seen as double standard

August 24, 2021 at 10:43 p.m.

(Reuters) - Securities brokerages have long required retail investors to bring their complaints to the arbitration forum run by the Financial Industry Regulatory Authority. But recent cases show that Wall...

Exclusive: UBS fighting proposal to move Puerto Rico bond fund cases

August 24, 2021 at 10:38 p.m.

(Reuters) - A unit of UBS AG is objecting to a plan that would allow hundreds of investors who lost money in closed-end Puerto Rico bond funds to arbitrate their...

Wall Street watchdog alleges annuity scheme by two ex-MetLife brokers

August 24, 2021 at 10:32 p.m.

(Reuters) - Two former brokers for MetLife Securities Inc, a unit of MetLife Inc, allegedly engaged in a seven-year scheme to inflate commissions by having customers switch $21 million in...

Variable annuities trigger big paydays, red tape for brokers

August 24, 2021 at 10:26 p.m.

(Reuters) - Variable annuities could spell double trouble for stock brokers who eye fat commissions instead of the rules in place for protecting investors. Brokers can earn 7 percent or...

Wall St. arbitrator booted for fake credentials heard nearly 40 cases

November 3, 2021 at 8:32 p.m.

(Reuters) - The outcomes of nearly 40 securities arbitration cases dating back more than 15 years and involving some of Wall Street's most well-known brokerages could be compromised because one...

Wall St. arbitrator booted for fake credentials heard nearly 40 cases

December 23, 2018 at 5:07 p.m.

(Reuters) - The outcomes of nearly 40 securities arbitration cases dating back more than 15 years and involving some of Wall Street's most well-known brokerages could be compromised because one...

Clearing firms fear Wall Street regulator’s data proposal

November 3, 2021 at 8:28 p.m.

(Reuters) - A proposal by Wall Street's industry-funded watchdog to ramp up oversight of securities brokerages could expose clearing firms to more enforcement actions and lawsuits, lawyers say. The Financial...

Clearing firms fear Wall Street regulator’s data proposal

December 23, 2018 at 4:54 p.m.

(Reuters) - A proposal by Wall Street's industry-funded watchdog to ramp up oversight of securities brokerages could expose clearing firms to more enforcement actions and lawsuits, lawyers say. The Financial...

U.S. SEC to review plan to require brokers to disclose bonuses

August 24, 2021 at 9:48 p.m.

(Reuters) - Wall Street's industry-funded watchdog has asked the U.S. Securities and Exchange Commission to approve a measure that would require stockbrokers to tell clients about bonuses they receive when...

U.S. Labor Department wants to mandate guide to 401(k) fee disclosures

November 3, 2021 at 8:23 p.m.

(Reuters) - The U.S. Department of Labor on Tuesday proposed a rule requiring pension plan service providers to offer a guide to help employers navigate disclosures about fees and potential...

All Stories