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Carlton Fields

Third Circuit Affirms Dismissal Of Suit To Vacate FINRA Arbitration Award

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This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more

Carlton Fields

Court Dismisses Challenge Of FINRA Arbitration Award For Lack Of Jurisdiction

Carlton Fields on

In a case involving a FINRA arbitration between investors and their financial advisor, Judge Anita S. Brody of the United States District Court for the Eastern District of Pennsylvania found that she did not have the...more

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