Daily Archives: Saturday, February 13, 2021

Posted: February 13, 2021

Broker’s Dispute Not Covered by FINRA Arbitration Rules

On February 4, 2021, the First Department issued a decision in Matter of Barsanti v. UBS Asset Mgt. (Ams.) Inc., 2021 NY Slip Op. 00616, holding that a broker’s dispute was not covered by FINA’s arbitration rules, explaining: The parties’ arbitration agreement does not obligate respondent to submit to arbitration of its dispute with petitioner... Read more »