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3 Cards in this Set
- Front
- Back
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A panel of three FINRA arbitrators has found a Brokerage liable for $200,00 because it was negligent in executing a buy order from Amthem Inc. What recourse does the Brokerage have at this point? |
The decision is binding and no appeal is allowed. FINRA arbitration decisions are not appeal-able. |
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Customer specific suitability |
It is the duty of the RR to make sure that the security is suitable for an investor based on her specific investment goals. |
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