United States Fourth Circuit
Waterford Investment Services, Inc. v. Bosco, 11-2103
In a suit by an investment firm, appealing a ruling that it must arbitrate a group of investor claims before the Financial Industry Regulatory Authority (FINRA), seeking a declaratory judgment that it need not arbitrate the investors' claims, the district court's judgment is affirmed where under FINRA Rule 12200 the financial advisor was an "associated person" of plaintiff firm, and consequently, the arbitration clause in Rule 12200 covers the Investors' dispute.
Appellate Information
- Decided 06/21/2012
- Published 06/21/2012
Judges
- DIANA GRIBBON MOTZ
Court
- United States Fourth Circuit