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1 result for “Ameriprise Financial Services, Incorporated”
| Case | Title | Lower Court | Docketed | Status | Tags | Question Presented |
|---|---|---|---|---|---|---|
| 19-1015 | Jeremy J. Walker v. Ameriprise Financial Services, Incorporated | Fifth Circuit | 2020-02-14 | Denied | 9-usc-10 arbitration-agreement arbitrator-powers federal-arbitration-act finra finra-code industry-code industry-dispute judicial-review mandatory-arbitration nasd securities-regulation | Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member and associated person? |