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Aggrieved Investors Face the Big Fight; Contentious Brokerage Arbitration Renews a Debate

Los Angeles Times

When Nancy Penoyer-Blau filed an arbitration claim against her brokerage firm 19 months ago, she expected a simple process with a quick resolution. What the Woodland Hills woman got instead was the sort of elaborate and contentious showdown that has become the norm in arbitration proceedings. “It was far more litigious than I had expected,” […]

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Bubble Investors Can Still Try Arbitration, Other Courts

Dow Jones Newswires

While Wall Street draws a sigh of relief that investor litigation has been dismissed against Merrill Lynch & Co. , people who lost money during the dot-com years still have avenues to seek damages from Merrill and other firms. Arbitration and state court are two of the forums for recouping losses, legal experts say. In […]

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Broker Research Bias Suits Dismissed

New York Post

A Manhattan federal court dismissed lawsuits accusing Goldman Sachs Group, Morgan Stanley and Merrill Lynch of misleading investors with biased research. In scathing and sarcastic language, U.S. District Judge Milton Pollack made it clear that the blame for the Internet bubble bursting could not be laid at the feet of the brokerage firms. He also […]

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Fuming Market Investors Ponder Their Legal Options

Los Angeles Daily Journal

Ten major Wall Street firms have agreed to settle conflict-of-interest charges for $1.4 billion, but investors still are fuming over the allegations. And that sentiment could keep securities lawyers busy for a long time. Attorneys are expecting a huge jump in the number of arbitration cases filed against brokerage firms this year, fueled by anger […]

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Annuity Offers Often Confusing, With Hidden Risk

Cleveland Plain Dealer

First, the annuity company had flown Beachwood investment adviser Jeffrey Bogart to California Now, company representatives were telling him how he could become rich. About two hours into the four-hour presentation last year, Bogart started getting a sick feeling in his stomach. Company pitchmen told the room full of about 50 investment advisers and insurance […]

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