Contract – Arbitration – FINRA — Securities – Valuation & Marketing FirmMorgan Keegan & Co. v. Silverman A company that valued and marketed certain bond funds purchased by plaintiff investors through a brokerage firm is not subject to FINRA arbitration proceedings, the 4th Circuit says, because the investors were not “customers” of the marketing company under the controlling FINRA rule; the district court order enjoining arbitration is affirmed.
You have clicked on a link to
information that is
Already a paid subscriber but not registered for online access yet? For instructions on how to get premium web access, click here.
Interested in Subscribing?
Start by choosing how you'd like your news delivered.
- Print and Digital -