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January 2015 Archives

Do Statutes of Limitation Apply to FINRA Arbitrations?

As attorneys who represent customers of brokerage firms, we often receive calls from potential clients who appear to have a substantive case of merit. And then we ask them when the investment was made and that often raises the question: Do statutes of limitation apply to arbitrations as they apply in courts?

How to Improve FINRA Arbitration

If James Carville, a campaign strategist of Bill Clinton's 1992 presidential campaign, was on the FINRA Dispute Resolution Task Force,[1] it would surprise no one that at the top of his list for improvements would be this: It's the Arbitrators, Stupid![2]