Home / Opinion Digests / Bank is ‘Customer’ for FINRA Arbitration (access required)

Bank is ‘Customer’ for FINRA Arbitration (access required)

A securities broker who is suing a bank that terminated him as sales manager of its affiliated investment company may compel arbitration of the salary dispute under the financial industry’s Customer Code; the Supreme Court of Virginia says, on this first-impression issue, that the bank qualifies as a “customer” under the Customer Code. The ...

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