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April 2017 Archives

Elderly Customers in Arbitration Part 1

For many years now, FINRA has sought to implement the central precept of arbitration as an expeditious alternative to litigation for the elderly. This blog, Part 1, will provide an overview of FINRA's pronouncements on the subject as well as initiatives adopted by the SEC and NASAA. Parts 2 & 3 will discuss the defense bar's perspective and specific state laws on the subject, respectively.