Broker-Dealer Settles Charges For Signing Noncompliant Arbitration Settlement Agreement - Finance and Banking
A broker-dealer settled FINRA charges for violating FINRA Rule 2081 ("Prohibited Conditions Relating to Expungement of Customer Dispute").
Conditions Relating Central Registration Depository Commercial Honor Violating Pretty Broker Dealer Settles Charges For Signing Noncompliant Arbitration Settlement Agreement Finance And Banking
Source: mondaq.com