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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.
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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