Articles Archive for 14 October 2009
On October 5, 2009, FINRA reported that it will expand its “pilot” program that allows investors who file eligible claims to select an arbitration panel that consists of three “public” arbitrators, rather than the traditional panel comprised of two “public” arbitrators and one “non-public” arbitrator.
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers):
Chase Investment Services (10 cases);
Oppenheimer & Co. (15 cases);
Raymond James Financial Services/Raymond James & Associates (10 cases);
Citigroup Global …
