Court Grant’s Petition to Compel Arbitration Filed by Non-Signatory Investment Advisor

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In Robinson v. Isaacs, 2011 U.S Dist. LEXIS 118070, the U.S. District Court for the Southern District of California granted a petition to compel arbitration filed an investment advisor who was not a signatory to the advisory services contract containing the arbitration clause. The plaintiff, an investor, sued a broker dealer and one of its investment advisory representatives for negligence and breach of fiduciary duty in connection with certain investments. The investments were made in 2005 and the Advisory Services Contract between the plaintiff and the broker-dealer was signed a year later, in 2006.

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Published In: Alternative Dispute Resolution (ADR) Updates, General Business Updates, Professional Malpractice Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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