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Opinions – 2/7/13: 4th U.S. Circuit Court of Appeals

Civil Procedure 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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