Federal Court Considers FINRA Arbitrability of Insurance Claims (BrokeAndBroker.com Blog)
Bill Singer
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Bill Singer
A critic of the inept and incompetent, and an advocate for economic and political sanity. It's a lonely journey but I walk it. Wall Street legal, regulatory, and compliance veteran since 1982.
Federal Court Considers FINRA Arbitrability of Insurance Claims (BrokeAndBroker.com Blog)
https://www.brokeandbroker.com/5280/stagliano-wesselt-onesco/
Four investors share the same registered representative. Except only three of them executed a New Account Form with the rep's brokerage firm. Except all four investors want to sue the brokerage firm over insurance and annuities sales that didn't occur at that firm. All of which begins with the investors filing a Statement of Claim with FINRA Arbitration. All of which then moves on to federal court.