FINRA Arbitration: Fighting to Survive

FINRA Arbitration: Fighting to Survive

FINRA Arbitration: Fighting to Survive,” State Bar of Texas Litigation Section Winter 2013 Report (“The Advocate”).

LAWYERS FAMILIAR WITH THE SECURITIES BUSINESS know about mandatory arbitration. As a practical matter, every investor must agree to mandatory arbitration before industry-sponsored arbitration panels governed by the Financial Industry Regulatory Authority (“FINRA”) – or forgo investing in the public markets.

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