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Dec 18, 2008 7:25 pm
Can anyone out there help prepare me for what's to come with an upcoming arbitration?  
Dec 18, 2008 8:46 pm

Mr. Carl’s attorney, Jason Archinaco, a partner at White and Williams LLP in Pittsburgh

Dec 18, 2008 11:43 pm


Dec 19, 2008 2:07 pm

The firm drew up the contract.

Dec 19, 2008 2:09 pm


Dec 19, 2008 2:23 pm

Thanks for replying.  Have you ever been to Arbitration?  Any ideas how this all works?

Dec 19, 2008 2:38 pm


Thanks for replying.  Have you ever been to Arbitration?  Any ideas how this all works?


No. Just like the annuity critics on this board, I have no clue about how this works. Unlike the critics, I will keep my mouth shut.
Dec 22, 2008 2:01 pm

I personally haven’t been through the arbitration process, but have read many of the briefs, summaries, and fillings that result from arbitration (as well as worked with Compliance Advisors that deal with these kinds of things) and fee pretty sure that the arbitration panel would not be made up of idiots - they can usually smell out a rat (they were picked for a reason).  If what you are saying is true, then I would be farely confident going into it.  Just be sure to have all your documentation in order (and listen to your lawyer).  Did you sign your clients name to the note?

Dec 23, 2008 12:01 am

Thanks for replying, any advice helps me sleep at night.

Dec 23, 2008 1:01 am

Yeah, not to beat it to death, and I’m positive you have learned this fact, but you can never sign a clients name.  Even as POA you are signing as the attorney in fact - but little chance of a firm letting you be your client’s attorney in fact on a POA.  When you say FINRA closed the investigation with no action taken, is that in regards to you signing your client’s name, or what your branch did to you?

Dec 24, 2008 6:44 pm


Dec 29, 2008 5:44 pm
Dec 29, 2008 6:07 pm

Indy, you're not helping.