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GOINGINDIE BLOG

Archive for April, 2013

If a Customer Arbitration Goes Badly, Advisors and Firms Must Work Together to Salvage the Situation

Sunday, April 28th, 2013

By Scott C Matasar In FINRA arbitrations brought by disgruntled customers, Claimants routinely sue both the rep and the firm.  If the arbitration Panel issues a severe Award against you that makes no sense, your only recourse may be to bring a civil lawsuit demanding the Award be vacated pursuant to the Federal Arbitration Act. […]

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