BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES California Fina Group v. Herrin | Secondary Sources | Westlaw

BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES California Fina Group v. Herrin | Secondary Sources | Westlaw

View on Westlaw or start a FREE TRIAL today, BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES California Fina Group v. Herrin, Secondary Sources
Skip Page Header

BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES California Fina Group v. Herrin

10 No. 20 ANDERLR 6Andrews Derivatives Litigation Reporter (Approx. 3 pages)

BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES California Fina Group v. Herrin

10 No. 20 ANDERLR 6Andrews Derivatives Litigation Reporter (Approx. 3 pages)

10 No. 20 Andrews Derivatives Litig. Rep. 6
Andrews Derivatives Litigation Reporter
*1 August 20, 2004
Arbitration
Copyright © 2004 West, a Thomson business.

BROKER MUST ARBITRATE WITH AGENT'S CLIENTS UNDER NASD RULES

California Fina Group v. Herrin

The 5th Circuit has concluded that a securities broker-dealer was obliged to submit to arbitration demanded by disgruntled clients of an independent agent of the dealer, even though the dealer did not offer or sell the instruments at issue. The court...
End of Document© 2024 Thomson Reuters. No claim to original U.S. Government Works.