Subject:FINRA Dispute Resolution Arbitration Number 09-00979
…However, the Arbitrator's NASD, FINRA, and NYSE awards, if any, are available through our online award database at www.finra.org/arbitrationmediation/index.htm. Panel Composition 'Customer Code Rule 12403(b) Industry Code Rule 13403(b) Investor protection. Market integrity. Dispute Resolution One Liberty Plaza t Northeast Regional Office wwwfinra org New York. NV 10006-1404 EFTA00726318 1. Single Arbitrator Cases Where the amount in controversy is $100,000 or less, the Code of Arbitration Procedure2 requires that one…