finra-code
1 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 19-1015 | Jeremy J. Walker v. Ameriprise Financial Services, Incorporated | Fifth Circuit | 2020-02-14 | Denied | Response Waived | 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? |