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FINRA Code of Arbitration Procedure

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FINRA Code of Arbitration Procedure

This one’s a doozy, so pay attention. 

We’re now entering the wonderful world of arbitration, a land visited by member firms and customers when disputes arise, as they inevitably do. Disputes aren’t always between member firms and their customers, of course. Sometimes disputes arise between two member firms doing business together, and when that happens, they settle their disagreement in arbitration.

Customers of member firms are often asked to sign pre-dispute arbitration agreements, whi...

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