Quantcast
Home / 2013 / March (page 12)

Monthly Archives: March 2013

Fraud, Securities Claims All Stayed for Arbitration (access required)

Although not all claims may be arbitrable in a retired physician’s suit arising from alleged fraudulent investment advice, the Roanoke U.S. District Court nevertheless will stay the entire lawsuit pending the outcome of FINRA arbitration with a co-defendant securities firm. ...

Read More »

Investors Not ‘Customers’ for FINRA Arbitration (access required)

Investors who purchased allegedly fraudulent securities directly from a business on the recommendation of a lawyer who was working with a broker for a financial services company were not “customers” of the company entitled to FINRA arbitration; the 4th Circuit ...

Read More »