NASAA’s brief to the National Adjudicatory Council in FINRA Department of Enforcement v. Charles Schwab & Company, Inc., arguing that a Hearing Panel erred by refusing to enforce FINRA rules prohibiting the use of class action waivers in customer agreements.

Home > Policy > Legal Briefs > NASAA’s brief to the National Adjudicatory Council in FINRA Department of Enforcement v. Charles Schwab & Company, Inc., arguing that a Hearing Panel erred by refusing to enforce FINRA rules prohibiting the use of class action waivers in customer agreements.