In the Media
2024
2023
- "LOs claim Bank of America did not pay overtime in class action suit" - National Mortgage News
- "BofA Cheats Mortgage Loan Officers Out of OT, Suit Says" - Law360
- "Credit Suisse Can't Ax Adviser's $1.3M Deferred Comp. Win" - Law360
- "Arbitrators order Morgan Stanley to pay senior investor $1.8M" - InvestmentNews
- "FINRA Panel Awards $1.8M In Intra-Family Broker Dispute" - Financial Advisor
- "Family Ties: Morgan Stanley Owes Investor $1.8 Million Over In-Laws' Trading" - AdvisorHub
- "Morgan Stanley Ordered to Pay Millions to Ex-Advisors, Schwab in Non-Solicit Fight" - Financial Advisor IQ
- "Credit Suisse Loses $1.3 Million Arbitration Over Deferred Compensation" - Barron's
- "Credit Suisse Ordered to Pay Morgan Stanley Broker $1.4M in Deferred Comp Claim" - AdvisorHub
- "FINRA arbitrators order Credit Suisse to pay $1.3 million to former rep" - InvestmentNews
2022
- "Big Payday for Ex-Credit Suisse Advisors in Battle Over Deferred Comp" - Barron's
- "FINRA Panel Slams Credit Suisse for Failing to Pay Deferred Comp to Ex-Brokers" - ThinkAdvisor
- "Credit Suisse ordered to pay former brokers about $10 million" - Investment News
- "Ex-Credit Suisse Brokers Notch Another Win With $6.5M Award in Deferred Comp Case" - AdvisorHub
2021
2020
- "SEC Imposes First Fines In Exchange-Traded Product Probe" - Law 360
- "Judge quashes Credit Suisse bid to vacate advisor arbitration award" - On Wall Street
- "Judge Upholds Award of Attorneys' Fees to Brokers Who Left CS for UBS" - Advisor Hub
- "Ex-Merrill UHNW Broker Lands at Boston Private in San Francisco" - Advisor Hub
- "Court's $6 million Credit Suisse award could bolster clawbacks" - InvestmentNews
- "After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award" - On Wall Street
- "Judge Upholds $6.1 Million Comp Award to Former Credit Suisse Brokers" - Advisor Hub
- "How Are So Many Advisors Switching Firms During The COVID Crisis?" - ThinkAdvisor
- "4 UBS advisors win $2M deferred comp battle against Credit Suisse" - On Wall Street
- "Finra arbitrators award $2.1 million to four former Credit Suisse reps" - InvestmentNews
- "Credit Suisse Shed U.S. Private Bank With Eye on Reviving It" - Bloomberg
- "Credit Suisse sues former NYC advisors over $1.6m arbitration award" - Citywire
- "Credit Suisse Sues to Block Arbitration Award to Ex-Brokers" - Bloomberg
- "Latest skirmish in deferred comp fight: Credit Suisse loses $1.6M arbitration" - On Wall Street
- "Why Can't These Advisors Get Paid?" - Financial Planning
- "Morgan Stanley advisers win huge $6.4 million deferred comp claim against Credit Suisse" - Investment News
- "Credit Suisse Ordered to Pay Two Brokers At Least $6.7 Million" - Advisor Hub
- "Judge Denies Credit Suisse's Move to Vacate Deferred Comp Award" - Advisor Hub
- "Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award" - Broke and Broker
- "First Republic Ordered to Pay Broker $1 Million for 'Unwarranted' Termination" - Advisor Hub
- "Another Credit Suisse Alumnus Wins Deferred Comp in Arbitration" - Advisor Hub
- "UBS broker wins nearly $1M in back pay from Credit Suisse" - On Wall Street
- "'Huge victory' for brokers seeking pay from Credit Suisse" - On Wall Street
- "FINRA arbitration panel orders Credit Suisse to pay former broker $844,621" - Investment News
- "Credit Suisse Ordered to Pay Broker $845K and Clear His Record" - Advisor Hub
- "UBS Strengthens Non-Solicitation Language For Some Brokers" - On Wall Street
- "Morgan Stanley Wins Another Restraining Order Against Former Broker" - Advisor Hub
- "Morgan Stanley exits Broker Protocol - will others follow?" - On Wall Street
- "Morgan Stanley Broker Resisted Fee Accounts, Gets Fired" - Advisor Hub
- "FINRA Benches Former Merrill PBIG Stars over Outside Businesses" - Advisor Hub
- "In UBS-RIA Spat, a Warning for Advisors Switching Firms" - Financial Planning
- "Termination Is Not The End Of The World" - Wealth Management
- "Ex-Wall Street honcho ordered to testify about wealth" - New York Post
- "Advisers' Arbitration Rights Reaffirmed in Comp Spat with Credit Suisse" - On Wall Street
- "FINRA Sides With Brokers in Battle Against Credit Suisse" - NY Times
- "Firms Can't Force Brokers Into Private Arbitration, FINRA Warns" - Advisor Hub
- "Did FINRA just open the floodgates to millions in claims against Credit Suisse?" - On Wall Street
- "Where Elite Advisers Are Flocking To" - Financial Planning
- Brokers Sue FINRA, Credit Suisse over Arbitration Shopping - Advisor Hub
- Ex-Credit Suisse brokers stuck in limbo as firm withholds millions in deferred pay - On Wall Street
- "Raymond James Tries to Nullify Advisor's $450K Award on Technicality" - On Wall Street
- "Credit Suisse Violates FINRA Arbitration Rules, Brokers Say" - Advisor Hub
- "FINRA’s Help Sought in Fight Between Credit Suisse and Brokers" - NYTimes.com
- "Raymond James Loses $600K Arbitration Case to Ex-Client" - On Wall Street
- "Arbitration War Launched By Ex-CS Brokers For Deferred Pay" - Advisor Hub
- "UBS Recruiting Ignites Raiding Claim, Spoils Credit Suisse-Wells Fargo Deal" - On Wall Street
- "Some Madoff Investors To Get All Their Money Back" - National Public Radio (Audio)
- "Breaking away for the wrong reason" - Investment News
- "US FINRA fines BNP Paribas for mis-selling leveraged derivative call option" - Structured Retail Products
- "Couple Wins $16.1 Million In Dispute With BNP Paribas" - Bank Investment Consultant
- "BNP Ordered To Pay Investor Almost $17 Million In Compensation" - Wall Street Journal
- "FINRA Arbitrators Award Couple $16.6 Million From BNP Paribas" - Investment News
- "BNP Paribas Customer Awarded $16.6 Million In FINRA Dispute" - Bloomberg
- "BNP Paribas Must Pay Investors $16.6 Mln In Arbitration" - Reuters
- "Ex-N.Y. Yankees: Our Advisors Stole Millions" - On Wall Street
- "Posada Looking to Recover $11.2M" - ESPN
- "Lawsuit: Jorge Posada Lost $11.2M because of ‘Egregious and Unlawful Actions" - Newsday
- "Ex-N.Y. Yankees: Our Advisors Stole Millions" - Financial Planning
- "Jorge Posada and Jose Contreras Say They’re Caught Up In A Multimillion Dollar Scam" - Vice Sports
- "Jorge Posada and Jose Contreras Claim They Were Victims of Scamming Financial Advisors" - NBC Sports
- "Jorge Posada Lost Millions In ‘Jaw-Dropping’ Fraud: Lawsuit" - New York Post
- "Yankees Great Sues Advisers Over $11M Investment Losses" - Law 360
- "Baker v. Merrill Lynch, Pierce, Fenner & Smith, Inc." – Securities Arbitration Commentator dated May 2013, Vol. 2012, No. 6 (See pages 19-20)
- " 'Shadowing' Trims Fees, Leads to Trouble" – The Wall Street Journal
- "Social media and federal securities regulation"
- "FINRA Sends Warning with $1.7M Decision Against Merrill" – Financial-Planning.com
- “Merrill client prevails against top Seattle broker” - Thomson Reuters
- "Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration" - Forbes
- "Pay Up: Brokers Sue MSSB for Bonuses and Win" - WealthManagement.com
- "When Saying Less is More" - Dow Jones Newswires Column
- "Chinese company told to pay up by New York court" - Globalarbitrationreview.com
- "Former Red Sox catcher wins case against Merrill" - Reuters.com
- "Merrill Lynch Must Pay Former Red Sox Catcher $1.2 Million" - WallStreetJournal .com
- "Former Sox catcher Mirabelli wins over $1.2M in suit against BofA Merrill" - BostonBusinessJournal.com
- "Mirabelli, Former Red Sox Catcher, Wins Merrill Case, NYT Says" - Bloomberg.com
- "Former Sox catcher Mirabelli wins $1.2M arbitration award" - BostonHerald.com
- "Former Catcher for Red Sox Wins Case Against Merrill Lynch Adviser" - NYTimes.com
- "Auction Rate Revenge" - Registeredrep.com
- "Court Sides With Trustee Over Madoff Payouts" - NYTimes.com
- "Mets Ruling May Reduce Pay to Victims of Madoff" - NYTimes.com
- "Merrill hit for $880K arbitration award" - InvestmentNews.com
- "Madoff winners go for 'loser' pennant" - NYPost.com
- "U.S. Rep. Gary Ackerman says he'll get answers from SEC lawyer David M. Becker on Madoff funds" - NYDailyNews.com
- "Bernard Madoff Investors to Launch New Wave of Lawsuits Against US Regulator" - TheTelegraph.com
- "Trustee in Madoff Case is Suing Local Victims" - TheAspenTimes.com
- "Local Victims of Madoff Suing U.S. Government" - PostIndependent.com
- "A Fairness Fight" - Newsweek.com
- "Life After Bernie Madoff's 'Big Lie' " - WallStreetJournal.com
- "Another Blow for Madoff Victims" - CNNMoney.com
- "With Regulatory Reform On The Way, Is It Pause Or Play?" - RegisteredRep.com
- "Trustee, Madoff Investors Spar Over Payout Calculation"
- "In Court, Challenges of Madoff Trustee’s Plans" - NYTimes.com
- Trustee, Madoff Investors Spar Over Payout Calculation" - newyorklawjournal.com
- "Madoff Prosecutors May Hire Picard to Help Distribute Assets" - bloomberg.com
- "Madoff Explains How He Concealed Fraud" - cbsnews.com
- "Prisons Bureau says Madoff does not have cancer" - reuters.com
- "Victims of Madoff Seek Claims Overhaul" - NYTimes.com
- "Madoff Trustee Sued Over Payout Terms" - yeshivaworldnews.com
- "Burned Retirees Sue Madoff Trustee Over Claims" - crainsnewyork.com
- "Clearing Your Good Name Is Harder Than Ever" - registeredrep.com
- Terminated Employees in the Investment Banking and Financial Services Industries May Be Entitled to Recover Their Unpaid Bonuses
By David S. Rich & Barry Lax
American Academy of Financial Management Global Online Journal, Oct. 31, 2008
- "A License to Lie" - registeredrep.com
- "Defamed?" - registeredrep.com