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FINRA SIX-YEAR ELIGIBILITY RULE 12206: THE PURCHASE DATE IS OFTEN NOT THE TRIGGERING “OCCURRENCE OR EVENT GIVING RISE TO A CLAIM”
It is custom and practice in the brokerage firm industry to have clients sign pre-dispute arbitration agreements requiring both parties to arbitrate any dispute or controversy in an arbitration forum.
MARKET ADJUSTED DAMAGES IN THE FINRA FORUM
Investors open accounts with brokerage firms to increase the value of their principal consistent with their time horizon, investment objectives and risk tolerance.
THE USE OF THIRD PARTY SUBPOENAS TO DETERMINE A BROKERAGE FIRM’S PRE-HIRING DUE DILIGENCE AND POST-HIRING SUPERVISION
What did the brokerage firm know or should have known about an employee prior to hiring and during employment?
