Opinions – 2/7/13: 4th U.S. Circuit Court of Appeals
6:19 pm Wed, February 6, 2013
Posted: 6:19 pm Wed, February 6, 2013
By Daily Record Staff
Arbitration under FINRA
BOTTOM LINE: FINRA rule requiring FINRA members to arbitrate disputes with a “customer” at customer’s request applied to financial services corporations that provided services to a not-for-profit health care organization in connection with the organization’s bond issues.
CASE: UBS Financial Services, Incorporated v. Carilion Clinic, Incorporated, No. 12-2066 (filed Jan. 23, 2013) (Judges ...
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