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Finra To Firms: Don’t Duck Our Arbitration Forum

August 9, 2016

 

 


 

Finra To Firms: Don’t Duck Our Arbitration Forum

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JULY 28, 2016 |

Finra could be girding for some fights against brokerage firms who insist on avoiding Finra arbitration in lieu of other dispute-resolution forums.

Last week, Finra warned broker-dealers in no uncertain terms that they can’t force customers or registered reps into dispute forums other than Finra’s own arbitration program.

The warning, in a regulatory notice issued Friday, said firms could be subject to enforcement action if they deny access to Finra arbitration.

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Second Annual Blue Vault Broker Dealer Educational Summit 2016
2016 Broker Dealer Educational Summit 2016
May 30, 2016

Best Due Diligence meeting in the industry. No sales pitches, senior level decision makers, meaningful discussions and the Broker Dealer networking sessions were especially useful. Thanks to Blue Vault for raising the bar!