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Cady Bar the Door Insight & Commentary on SEC Enforcement Actions and Related Issues

Category Archives: Arbitrations

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FINRA Arbitrations Can Be Traps for the Unwary

Posted in Arbitrations, FINRA

Are you considering invoking FINRA’s arbitration process to seek redress for wrongs done by or to a broker-dealer?  Be careful, because you might be biting off a bit more than you can chew.  Two recent cases – one a FINRA arbitration award, the other a Fourth Circuit affirmance of a FINRA arbitration award – tell… Continue Reading