Bob Giuffra, Brent McIntosh, Matt Schwartz and Jeff Wall Co-author Article for Business Law Today

September 22, 2014
Download

In its September issue, Business Law Today published an article by Messrs. Giuffra, McIntosh, Schwartz and Wall titled, “Second Circuit Adopts Bright-Line Rule for Determining Customer Status for Mandatory FINRA Arbitration.” The article discusses a recent Second Circuit decision clarifying the circumstances in which FINRA members must participate in mandatory arbitration of disputes with their “customers” that arise in connection with the member’s business activities.