Quantcast
Home / Opinion Digests / Business Law (page 57)

Business Law

Broker Must Arbitrate Investors’ Claim (access required)

Although a financial advisor who allegedly operated Ponzi schemes had changed brokers before plaintiff investors filed their FINRA arbitration claim, the current broker must arbitrate the claim because the advisor was an “associated person,” the 4th Circuit says. Appellant Waterford ...

Read More »