Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not
Continue Reading Don’t Argue; The Client Is Always Right Even When They Are Not
Public Customer Arbitrations
You Need To Be an Investor for FINRA Arbitration
By Ernest Badway on
An allegedly defrauded investor may not compel a broker-dealer to arbitrate claims over his allegedly unsuitable investments. See Berthel Fisher & Co. Financial Services Inc. v. Frandino, D. Ariz.,…
Continue Reading You Need To Be an Investor for FINRA Arbitration