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Broker Says Ex-Employer's FINRA Dispute Can't Go To Court

By Ryan Harroff ( October 11, 2023, 6:33 PM EDT) -- A Connecticut brokerage firm accusing a former worker of taking business with him cannot lodge a prejudgment remedy bid in Connecticut state court, the former employee claims, because the dispute belongs solely before the Financial Industry Regulatory Authority and the firm didn't clear the high bar for such relief in the first place....

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