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Articles Tagged with FINRA Rule 13212

On August 31, 2020, the 10th Circuit Court of Appeals dismissed an attempt by broker Zane Piston to vacate a decision made by a Financial Industry Regulatory Authority (FINRA) arbitration panel. In his case, Piston argued that the arbitration panel had exceeded their powers by dismissing his case as a discovery sanction. Unfortunately for Piston, […]

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