Home (page 40)

Tag Archives: Contract

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 »

Turning tables, investors demand arbitration (access required)

Investors who claimed they lost $1 million based on their securities seller’s bad advice can force the firm that later hired the salesman to arbitrate their claim for fraud. The investment firm said the fraud claim arose during the investment ...

Read More »