FINRA arbitration rule doesn't apply, as the securities were purchased on information from an acquaintance of the employees of the covered company, not from the company itself.
Raymond James Financial v. Peter Cary
Recent Precedential Slip Opinions from the U.S. Circuit Courts of Appeals.
Friday, March 08, 2013
Fourth Circuit -- Raymond James Financial v. Peter Cary
Topics (DO NOT RELY ON THIS)
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Compiled by D.E. Frydrychowski, who is, not incidentally, not giving you legal advice.
Category tags above are sporadically maintained Do not rely. Do not rely. Do not rely.
Author's SSRN page here.