{"id":1158,"date":"2021-10-07T20:44:35","date_gmt":"2021-10-07T20:44:35","guid":{"rendered":"https:\/\/www.mazzolalindstrom.com\/finra-arbitration-of-customer-broker-dealer-disputes-an-overview-for-the-uninitiated\/"},"modified":"2023-08-13T17:22:08","modified_gmt":"2023-08-13T17:22:08","slug":"finra-arbitration-of-customer-broker-dealer-disputes-an-overview-for-the-uninitiated","status":"publish","type":"post","link":"https:\/\/www.mazzolalindstrom.com\/zh-hans\/finra-arbitration-of-customer-broker-dealer-disputes-an-overview-for-the-uninitiated\/","title":{"rendered":"FINRA \u5bf9\u5ba2\u6237\/\u7ecf\u7eaa\u4ea4\u6613\u5546\u7ea0\u7eb7\u7684\u4ef2\u88c1\uff1a\u4ef2\u88c1\u5165\u95e8\u4ecb\u7ecd"},"content":{"rendered":"<p>Stephen L. Brodsky\uff0c\u5408\u4f19\u4eba | Mazzola Lindstrom LLP<\/p>\n<p>\u4ef2\u88c1\u662f\u89e3\u51b3\u8bc1\u5238\u5ba2\u6237\u548c\u7ecf\u7eaa\u4ea4\u6613\u5546\u4e4b\u95f4\u7ea0\u7eb7\u7684\u4e3b\u8981\u65b9\u5f0f\u3002\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40 (FINRA) \u662f\u8fd9\u4e9b\u4ef2\u88c1\u7684\u4e3b\u8981\u5ba1\u7406\u673a\u6784\u3002FINRA \u4ef2\u88c1\u76f8\u5bf9\u8017\u65f6\u8f83\u77ed\uff0c\u4e14\u5177\u6709\u6210\u672c\u6548\u76ca\u3002\u6b64\u5916\uff0c\u6765\u81ea\u76d1\u7ba1\u90e8\u95e8\u7684\u76d1\u7763\u548c\u5176\u4ed6\u68c0\u67e5\u673a\u5236\uff0c\u4e5f\u53ef\u4ee5\u786e\u4fdd\u7a0b\u5e8f\u516c\u5e73\u3002\u672c\u6587\u6982\u8ff0\u4e86 FINRA \u4ef2\u88c1\u7a0b\u5e8f\u3002<\/p>\n<p><strong>\u80cc<\/strong><strong>\u666f<\/strong><\/p>\n<p>FINRA \u662f\u4e00\u4e2a\u9762\u5411\u8bc1\u5238\u7ecf\u7eaa\u4ea4\u6613\u5546\u516c\u53f8\u53ca\u5176\u4ee3\u8868\u7684\u72ec\u7acb\u81ea\u5f8b\u7ec4\u7ec7 (SRO)\u3002FINRA \u6210\u7acb\u4e8e 2007 \u5e74 7 \u6708\uff0c\u7531\u5148\u524d\u7684\u4e24\u4e2a SRO\uff08\u5168\u56fd\u8bc1\u5238\u4ea4\u6613\u5546\u534f\u4f1a\u4ee5\u53ca\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u7684\u6210\u5458\u76d1\u7ba1\u548c\u6267\u6cd5\u673a\u6784\uff09\u5408\u5e76\u800c\u6210\u3002\u4f5c\u4e3a\u4e00\u4e2a\u4f1a\u5458\u5236\u7684 SRO\uff0cFINRA \u4e3a\u6210\u5458\u5236\u5b9a\u548c\u6267\u884c\u89c4\u5219\u3002<\/p>\n<p>\u5982\u4eca\uff0cFINRA \u5df2\u6210\u4e3a\u7ecf\u7eaa\u4ea4\u6613\u5546\u7684\u9996\u9009 SRO\uff0c\u5728\u5168\u56fd\u76d1\u7ba1 3,600 \u591a\u5bb6\u7ecf\u7eaa\u516c\u53f8\u548c 600,000 \u591a\u540d\u6ce8\u518c\u8bc1\u5238\u4ee3\u8868\u3002\u6b64\u5916\uff0cFINRA \u8fd0\u8425\u7f8e\u56fd\u6700\u5927\u89c4\u6a21\u7684\u8bc1\u5238\u4ef2\u88c1\u9879\u76ee\uff0c\u8d1f\u8d23\u76d1\u7763\u5ba2\u6237\u4e0e\u5176\u7ecf\u7eaa\u4ea4\u6613\u5546\u516c\u53f8\u4e4b\u95f4\u4ee5\u53ca\u7ecf\u7eaa\u4ea4\u6613\u5546\u4e0e\u5458\u5de5\u4e4b\u95f4\u7684\u7ea0\u7eb7\uff0c\u76d1\u7763\u8c03\u89e3\u8ba1\u5212\u3002<\/p>\n<p>\u867d\u7136 FINRA \u662f\u4e00\u4e2a\u975e\u653f\u5e9c\u7ec4\u7ec7\uff0c\u4f46\u5b83\u7ecf\u6cd5\u5b9a\u6388\u6743\u4e3a\u8bc1\u5238\u7ea0\u7eb7\u8fdb\u884c\u516c\u5e73\u7684\u7ea0\u7eb7\u89e3\u51b3\u5224\u51b3\u3002\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a (SEC) \u5bf9 FINRA \u884c\u4f7f\u5e7f\u6cdb\u76d1\u7763\u6743\uff0c\u786e\u4fdd\u5176\u4ef2\u88c1\u7a0b\u5e8f\u7684\u516c\u5e73\u6027\u30021934 \u5e74\u300a\u8bc1\u5238\u4ea4\u6613\u6cd5\u300b\u4fee\u8ba2\u7248\u6388\u6743 SEC \u786e\u4fdd\u516c\u5e73\u7684\u4ef2\u88c1\u7a0b\u5e8f\u3002\u53c2\u89c1\uff1a15 U.S.C\uff1b\u53e6\u89c1 <em>Shearson\/AM.Express Inc. <\/em><em>\u8bc9 <\/em><em>McMahon<\/em><em>\uff0c<\/em>482 U.S. 220, 233-34<\/p>\n<p>(1987)\u3002\u51ed\u501f\u8fd9\u9879\u6388\u6743\uff0cSEC \u8d1f\u8d23\u6279\u51c6FINRA \u7684\u65b0\u89c4\u5219\u548c\u89c4\u5219\u4fee\u6b63\u6848\u3002SEC \u8fd8\u53ef\u4ee5\u5728\u5176\u201c\u8ba4\u4e3a\u5bf9\u516c\u5171\u5229\u76ca\u800c\u8a00\u5fc5\u8981\u6216\u9002\u5f53\u7684\u60c5\u51b5\u4e0b\u201d\u5bf9 FINRA \u7684\u8fd0\u8425\u8fdb\u884c\u201c\u5408\u7406\u7684\u5b9a\u671f\u3001\u7279\u522b\u6216\u5176\u4ed6\u68c0\u67e5\u201d\u3002<em>\u51fa\u7248\u7269\uff1a <\/em><em>Inv&#8217;rs Arbitration Bar Ass&#8217;n <\/em><em>\u8bc9 <\/em><em>SEC<\/em><em>\uff0c<\/em>771 F.3d 1, 2 (D.C. Cir.2014)\u3002\u53e6\u89c1\u7f8e\u56fd\u653f\u5e9c\u95ee\u8d23\u5c40\uff0cGAO-12-625\uff0c\u8bc1\u5238\u6cd5\u89c4\uff1a<em>\u6539\u5584 <\/em><em>SEC <\/em><em>\u5bf9\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\u76d1\u7763\u7684\u673a\u4f1a\uff08<\/em><em>2012 <\/em><em>\u5e74 <\/em><em>5 <\/em><em>\u6708\uff09\u3002<\/em><\/p>\n<p>\u56fd\u5bb6\u4ef2\u88c1\u4e0e\u8c03\u89e3\u59d4\u5458\u4f1a (NAMC) \u662f\u4e00\u4e2a\u7531\u516c\u4f17\u548c\u8bc1\u5238\u884c\u4e1a\u4ee3\u8868\u7ec4\u6210\u7684\u59d4\u5458\u4f1a\uff0c\u8d1f\u8d23\u5bf9 FINRA \u8fdb\u884c\u989d\u5916\u76d1\u7763\u3002NAMC \u53ef\u4e3a FINRA \u7684\u4ef2\u88c1\u3001\u8c03\u89e3\u548c\u5176\u4ed6\u4e89\u8bae\u89e3\u51b3\u6d41\u7a0b\u63a8\u8350\u76f8\u5173\u7684\u89c4\u5219\u3001\u6761\u4f8b\u548c\u7a0b\u5e8f\u3002\u53c2\u89c1 FINRA \u89c4\u5219 14102\u3002<\/p>\n<p><strong>FINRA <\/strong><strong>\u4ef2\u88c1\u76ca\u5904<\/strong><\/p>\n<p>\u4e0e\u5176\u4ed6\u4ef2\u88c1\u4e00\u6837\uff0cFINRA \u4ef2\u88c1\u6bd4\u8bc9\u8bbc\u6210\u672c\u66f4\u4f4e\u3001\u901f\u5ea6\u66f4\u5feb\u3002\u53c2\u89c1\u7f8e\u56fd\u8bc1\u5238\u4e1a\u548c\u91d1\u878d\u5e02\u573a\u534f\u4f1a(SIFMA)\uff0c\u8bc1\u5238\u4e1a\u4ef2\u88c1\u767d\u76ae\u4e66\uff082007\u5e74 10 \u6708\uff09\u3002\u53e6\u89c1 AT&amp;T Mobility LLC \u8bc9 Concepcion\uff0c563 U.S. 333, 346 (2011)\uff08\u5e38\u89c4\u8ba8\u8bba\u4ef2\u88c1\uff09\u3002FINRA \u4ef2\u88c1\u5177\u6709\u5176\u72ec\u7279\u4f18\u52bf\u3002<\/p>\n<p>\u5982\u679c\u7d22\u8d54\u91d1\u989d\u592a\u5c0f\uff0c\u65e0\u6cd5\u4ee5\u7ecf\u6d4e\u9ad8\u6548\u7684\u65b9\u5f0f\u63d0\u8d77\u8bc9\u8bbc\uff0c\u53ef\u4ee5\u901a\u8fc7\u8fd9\u4e00\u65b9\u5f0f\u5f97\u5230\u89e3\u51b3\u3002\u540c\u65f6\uff0c\u7528\u4e8e\u786e\u5b9a\u66f4\u9ad8\u91d1\u989d\u7d22\u8d54\u7684\u8d39\u7528\u4e5f\u6bd4\u8bc9\u8bbc\u8d39\u7528\u66f4\u4f4e\u3002\u6b64\u5916\uff0cFINRA \u4ef2\u88c1\u7684\u6d41\u7a0b\u66f4\u4e3a\u7b80\u5316\uff0c\u53ef\u4ee5\u66f4\u5feb\u5730\u89e3\u51b3\u7ea0\u7eb7\u3002\u4f8b\u5982\uff0cFINRA \u62a5\u544a\u8868\u793a\uff0c\u4e66\u9762\u63d0\u4ea4\u7684\u4ef2\u88c1\u5ba1\u7406\u65f6\u95f4\u7ea6\u4e3a 7.1 \u4e2a\u6708\uff0c\u800c\u8fdb\u884c\u6848\u60c5\u542c\u8bc1\u4f1a\u7684\u4ef2\u88c1\u5ba1\u7406\u65f6\u95f4\u7ea6\u4e3a 16.6 \u4e2a\u6708\u3002\u6700\u540e\u4e00\u4e2a\u76ca\u5904\u662f\uff1a\u7531\u4e8e\u4e0a\u8bc9\u7684\u7406\u7531\u6709\u9650\uff0c\u4ef2\u88c1\u53ef\u4ee5\u76f8\u6bd4\u8bc9\u8bbc\u66f4\u5feb\u5730\u83b7\u5f97\u6700\u7ec8\u7ed3\u679c\u3002\u4f46\u5982\u4e0b\u6240\u8ff0\uff0c\u8fd9\u91cc\u4e5f\u5b58\u5728\u4e00\u4e2a\u57fa\u672c\u7684\u5229\u5f0a\u6743\u8861\uff1a\u5f53\u4e8b\u4eba\u57fa\u672c\u653e\u5f03\u4e86\u5bf9\u88c1\u51b3\u63d0\u51fa\u4e0a\u8bc9\u7684\u6743\u5229\u3002<\/p>\n<p>\u6709\u4eba\u8ba4\u4e3a FINRA \u4ef2\u88c1\u4f1a\u4ea7\u751f\u201c\u6709\u5229\u4e8e\u884c\u4e1a\u201d\u7684\u7ed3\u679c\u3002\u53c2\u89c1\uff1a\u5982 Habliston \u8bc9 FINRA Regulation, Inc.\uff0cNo. 1:2015-cv-02225 (D.D.C.2017) n \u8bc9 FINRA Regulation, Inc.\u3002\u4f46\u7814\u7a76\u7ed3\u8bba\u663e\u793a\uff0cSRO\u8bc1\u5238\u4ef2\u88c1\u5bf9\u6563\u6237\u6295\u8d44\u8005\u786e\u5b9e\u662f\u516c\u5e73\u4e14\u6709\u76ca\u7684\u3002\u53c2\u89c1\uff1a\u5982 Barbara Black\uff0c\u201c\u8bc1\u5238\u4ef2\u88c1\u5bf9\u6295\u8d44\u8005\u662f\u5426\u516c\u5e73\uff1f\u201d 25 Pace L. Rev. 1, 5-6 (2004)\uff1bJill Gross\uff0c\u201cMcMahon \u4e8c\u5341\u5e74\uff1a\u8bc1\u5238\u4ef2\u88c1\u516c\u5e73\u6027\u7684\u76d1\u7ba1,\u201d 76 U. Cin. L. Rev. 493, 517-18 (2018)\u3002<\/p>\n<p><strong>FINRA <\/strong><strong>\u4ef2\u88c1\u7a0b\u5e8f<\/strong><\/p>\n<p>\u7ecf\u7eaa\u5546\u7684\u5f00\u6237\u6587\u4ef6\u4e2d\uff0c\u901a\u5e38\u5305\u62ec\u4e00\u9879\u4ef2\u88c1\u534f\u8bae\uff0c\u8868\u793a\u5ba2\u6237\u540c\u610f\u901a\u8fc7 FINRA \u4ef2\u88c1\u89e3\u51b3\u4e0e\u8be5\u516c\u53f8\u53ca\u5176\u4ee3\u8868\u95f4\u7684\u4efb\u4f55\u7ea0\u7eb7\u3002\u5728 FINRA<strong>\u300a\u5ba2\u6237\u7ea0\u7eb7\u4ef2\u88c1\u7a0b\u5e8f\u51c6\u5219\u300b<\/strong>\u4ee5\u53ca FINRA \u89c4\u5219 12000 \u53ca\u5176\u540e\u6761\u6b3e\u4e2d\uff0c\u89c4\u5b9a\u4e86FINRA \u5ba2\u6237\/\u7ecf\u7eaa\u4ea4\u6613\u5546\u7684\u4ef2\u88c1\u7a0b\u5e8f\u3002\u4f46\u5373\u4f7f\u6ca1\u6709\u4ef2\u88c1\u534f\u8bae\uff0c\u5982\u679c\u5ba2\u6237\u8981\u6c42\u4ef2\u88c1\uff0c\u53ea\u8981\u8be5\u7ecf\u7eaa\u5546\u662f FINRA \u6210\u5458\uff0c\u5373\u89c6\u4e3a\u5176\u5df2\u4f5c\u51fa\u540c\u610f\uff08FINRA \u89c4\u5219 12200\uff09\u3002<\/p>\n<p>\u4ef2\u88c1\u7684\u7b2c\u4e00\u6b65\u662f\uff1a\u63d0\u4ea4\u7d22\u8d54\u7533\u660e\u548c\u63d0\u4ea4\u534f\u8bae\u3002FINRA \u89c4\u5219 12302\u3002\u7d22\u8d54\u7533\u660e\u9700\u9610\u8ff0\u76f8\u5173\u4e8b\u5b9e\uff0c\u9610\u660e\u6240\u8981\u6c42\u7684\u8865\u507f\u3002\u8fd8\u53ef\u4ee5\u9644\u4e0a\u67d0\u4e9b\u91cd\u8981\u6587\u4ef6\u4f5c\u4e3a\u8bc1\u7269\u3002\u901a\u8fc7\u63d0\u4ea4\u534f\u8bae\uff0c\u5373\u8868\u793a\u7d22\u8d54\u4eba\u786e\u8ba4\u540c\u610f\u9075\u5b88FINRA \u7684\u7a0b\u5e8f\u5e76\u53d7\u4ef2\u88c1\u88c1\u51b3\u7684\u7ea6\u675f\u3002\u5e94\u8bc9\u65b9\u5fc5\u987b\u63d0\u4ea4\u5bf9\u7d22\u8d54\u58f0\u660e\u7684\u7b54\u590d\u548c\u6297\u8fa9\uff0c\u5e76\u540c\u65f6\u63d0\u4ea4\u53ef\u80fd\u62e5\u6709\u7684\u4efb\u4f55\u53cd\u8bc9\u3001\u4ea4\u53c9\u7d22\u8d54\u6216\u7b2c\u4e09\u65b9\u7d22\u8d54\uff0c\u4ee5\u53ca\u5176\u81ea\u5df1\u7684\u63d0\u4ea4\u534f\u8bae\u3002FINRA \u89c4\u5219 12303\u3002<\/p>\n<p>\u7d22\u8d54\u91d1\u989d\u4e3a 50,000 \u7f8e\u5143\u6216\u4ee5\u4e0b\u7684\u635f\u5bb3\u8d54\u507f\u7531\u4e00\u540d\u4ef2\u88c1\u5458\u505a\u51fa\u88c1\u51b3\uff0c\u9664\u975e\u63d0\u51fa\u8981\u6c42\uff0c\u5426\u5219\u4e0d\u4f1a\u4e3e\u884c\u542c\u8bc1\u4f1a\u3002FINRA \u89c4\u5219 12401\u300112800\u3002\u5982\u679c\u7d22\u8d54\u91d1\u989d\u4e3a 50,001 \u7f8e\u5143\u81f3 100,000 \u7f8e\u5143\uff0c\u540c\u6837\u7531\u4e00\u540d\u4ef2\u88c1\u5458\u505a\u51fa\u88c1\u51b3\uff0c\u4f46\u9700\u8981\u4eb2\u4e34\u542c\u8bc1\u3002FINRA \u89c4\u5219 12401\u300112600\u300112602\u3002\u5982\u679c\u635f\u5bb3\u8d54\u507f\u7d22\u8d54\u91d1\u989d\u8d85\u8fc7 100,000 \u7f8e\u5143\u6216\u91d1\u989d\u4e0d\u8be6\uff0c\u5219\u9700\u7531\u4e09\u540d\u4ef2\u88c1\u5458\u7ec4\u6210\u5c0f\u7ec4\u5ba1\u7406\uff0c\u4e14\u9700\u8981\u4eb2\u4e34\u542c\u8bc1\u3002FINRA \u89c4\u5219 12401\u300112600\u300112602\u3002<\/p>\n<p>FINRA 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12510\u3002<\/p>\n<p>\u5bf9\u975e\u5f53\u4e8b\u4eba\u7684\u4f20\u5524\u540c\u6837\u9700\u8981\u4ef2\u88c1\u5c0f\u7ec4\u7684\u8bb8\u53ef\uff0c\u4e14\u53ea\u80fd\u901a\u8fc7\u4e66\u9762\u52a8\u8bae\u8fdb\u884c\u7533\u8bf7\u3002FINRA \u89c4\u5219 12512\u3002\u9884\u542c\u8bc1\u7684\u51b3\u5b9a\u6027\u52a8\u8bae\u662f\u660e\u786e\u4e0d\u9f13\u52b1\u63d0\u4ea4\u7684\u3002FINRA \u89c4\u5219 12504\u3002\u4ef2\u88c1\u5458\u53ef\u80fd\u4f1a\u5c06\u51e0\u4e4e\u6240\u6709\u4e8b\u9879\u90fd\u7559\u5f85\u6848\u60c5\u542c\u8bc1\u4f1a\u4e2d\u89e3\u51b3\u3002\u6848\u60c5\u542c\u8bc1\u4f1a\u4e0d\u540c\u4e8e\u5ba1\u5224\u3002\u4f8b\u5982\uff0c\u4ef2\u88c1\u5458\u4e0d\u53d7\u5dde\u6216\u8054\u90a6\u8bc1\u636e\u89c4\u5b9a\u7684\u7ea6\u675f\uff0c\u53ef\u4ee5\u81ea\u884c\u51b3\u5b9a\u5728\u542c\u8bc1\u4f1a\u4e2d\u91c7\u7528\u54ea\u4e9b\u8bc1\u636e\u3002 FINRA \u89c4\u5219 12604\u3002\u5bf9\u542c\u8bc1\u4f1a\u5907\u6848\u5e76\u7531FINRA \u4fdd\u5b58\uff0c\u4ee5\u4f9b\u9700\u8981\u65f6\u5ba1\u67e5\u3002FINRA \u89c4\u5219 12606\u3002\u88c1\u51b3\u7ed3\u679c\u5c06\u5728\u5907\u6848\u622a\u6b62\u540e 30 \u4e2a\u5de5\u4f5c\u65e5\u5185\u4e88\u4ee5\u53d1\u5e03\u3002FINRA \u89c4\u5219 12904\u3002\u5f53\u4e8b\u4eba\u53ef\u4ee5\u8981\u6c42\u901a\u8fc7\u7b80\u5355\u7684\u51b3\u5b9a\u6216\u201c\u89e3\u91ca\u6027\u51b3\u5b9a\u201d\u53d1\u5e03\u88c1\u51b3\uff0c\u5176\u4e2d\u9700\u8981\u9610\u8ff0\u88c1\u51b3\u7406\u7531\u3002\u5404\u5f53\u4e8b\u4eba\u5fc5\u987b\u5171\u540c\u7533\u8bf7\u505a\u51fa\u89e3\u91ca\u6027\u51b3\u5b9a\u3002<\/p>\n<p><strong>\u201c<\/strong><strong>\u4e0a\u8bc9<\/strong><strong>\u201d<\/strong><strong>\u6743\u5229\u9650<\/strong><strong>\u5236<\/strong><\/p>\n<p>\u5f8b\u5e08\u548c\u5f53\u4e8b\u4eba\u5fc5\u987b\u6e05\u695a\u4e00\u70b9\uff1aFINRA \u4ef2\u88c1\u7684\u88c1\u51b3\u57fa\u672c\u4e3a\u6700\u7ec8\u88c1 \u51b3\u3002FINRA \u672c\u8eab\u4e0d\u63d0\u4f9b\u88c1\u51b3\u8d28\u7591\u3001\u5ba1\u67e5\u6216\u4e0a\u8bc9\u7a0b\u5e8f\u3002\u4e0e\u4ef2\u88c1\u7684\u4e00\u822c\u60c5\u51b5\u4e00\u6837\uff0c\u8054\u90a6\u548c\u5dde\u6cd5\u5f8b\u6388\u6743\u6cd5\u9662\u4ec5\u5728\u6709\u9650\u7684\u60c5\u51b5\u4e0b\u63a8\u7ffb\u88c1\u51b3\u3002<\/p>\n<p>\u300a\u8054\u90a6\u4ef2\u88c1\u6cd5\u300b(FAA) \u4f53\u73b0\u51fa\u516c\u5171\u653f\u7b56\u5bf9\u4ef2\u88c1\u7684\u503e\u5411\u6027\u652f\u6301\u3002\u53c2\u89c1Buckeye Check Cashing, Inc. \u8bc9 Cardegna\uff0c546 U.S. 440, 443 (2006)\u3002\u5176\u4e2d\u5217\u4e3e\u4e86\u64a4\u9500\u6216\u4fee\u6539\u88c1\u51b3\u5fc5\u987b\u7b26\u5408\u7684\u5177\u4f53\u7406\u7531\uff0c\u5305\u62ec\u88c1\u51b3\u901a\u8fc7\u8150\u8d25\u3001\u6b3a\u8bc8\u6216\u4e0d\u6b63\u5f53\u624b\u6bb5\u5f97\u51fa\uff0c\u6216\u8005\u4ef2\u88c1\u5458\u8d8a\u6743\u3002\u53c2\u89c1 9<\/p>\n<p>U.S.C. \u00a7 10\u3002\u8054\u90a6\u666e\u901a\u6cd5\u89c4\u5b9a\uff1a\u201c\u660e\u663e\u65e0\u89c6\u6cd5\u5f8b\u201d\u662f\u64a4\u9500\u88c1\u51b3\u7684\u53e6\u4e00\u4e2a\u4f9d\u636e\u3002\u53c2\u89c1\uff1a\u5982Telenor Mobile Commc&#8217;ns AS \u8bc9 Storm LLC\uff0c 584 F.3d 396, 407 (2d Cir.2009)\u3002\u53e6\u89c1\uff1a\u5982 Beumer Corp. \u8bc9 Pro Energy Servs., LLC\uff0c899 F.3d 564, 566 (8th Cir.2018)\u3002<\/p>\n<p>\u5dde\u6cd5\u89c4\u4e5f\u53ef\u80fd\u4f1a\u5217\u51fa\u8d28\u7591\u4ef2\u88c1\u88c1\u51b3\u7684\u7406\u7531\u3002\u53c2\u89c1\uff1a\u5982 Fla.Stat. \u00a7682.13 (1); N.Y. C.P.L.R.7511 (b)(1)\u3002\u67d0\u4e9b\u5dde\u6cd5\u9662\u4f1a\u5f15\u7528\u8054\u90a6\u666e\u901a\u6cd5\u4e2d\u7684\u201c\u660e\u663e\u65e0\u89c6\u6cd5\u5f8b\u201d\u539f\u7531\uff0c\u5c06\u5176\u4f5c\u4e3a\u63a8\u7ffb\u88c1\u51b3\u7684\u4f9d\u636e\uff0c\u4f46\u5e94\u7528\u60c5\u51b5\u975e\u5e38\u6709\u9650\uff0c\u5e76\u4e14\u53ea\u9002\u7528\u4e8e FAA \u7ba1\u8f96\u7684\u4ef2\u88c1\u3002\u53c2\u89c1\uff1a\u5982 McLaughlin\u3001Piven\u3001Vogel Sec.Inc. \u8bc9 Ferrucci\uff0c67 A.D.3d 405, 406, 889 N.Y.S.2d 134 (N.Y. App. Div. 1st Dept. 2009)\u3002<\/p>\n<p>\u201c\u5982\u679c\u6240\u5f97\u7ed3\u679c\u6709[\u751a\u81f3]\u51e0\u4e4e\u65e0\u6cd5\u89e3\u91ca\u7684\u7406\u7531\u201d\uff0c\u5219\u5e94\u7ef4\u6301\u539f\u88c1\u51b3\u3002Wallace \u8bc9 Buttar\uff0c378. 3d 182, 190 (2d Cir. 2004)\uff08\u7701\u7565\u5f3a\u8c03\u548c\u5f15\u53f7\uff09\u3002\u53e6\u89c1 Hall St. Assocs., L.L.C. \u8bc9 Mattel, Inc.\uff0c552 U.S. 576 (2008)\uff1bCentury Indem.Co. \u8bc9 Certain Underwriters at Lloyd\u2019s London\uff0c584, F. 3d 513, 557 (3d Cir. 2009)\u3002<\/p>\n<p>\u4e86\u89e3FINRA \u4ef2\u88c1\u7a0b\u5e8f\u5bf9\u4e8e\u8bc1\u5238\u884c\u4e1a\u53c2\u4e0e\u8005\u7684\u4ee3\u7406\u5f8b\u5e08\u81f3\u5173\u91cd\u8981\u3002FINRA \u4ef2\u88c1\u91c7\u7528\u7ecf\u6d4e\u9ad8\u6548\u3001\u7cbe\u7b80\u4e14\u5feb\u901f\u7684\u6d41\u7a0b\u89e3\u51b3\u5ba2\u6237\/\u7ecf\u7eaa\u4ea4\u6613\u5546\u7ea0\u7eb7\u3002\u4f46\u4e0e\u4e00\u822c\u4ef2\u88c1\u4e00\u6837\uff0c\u5b83\u5728\u4e0a\u8bc9\u65b9\u9762\u7684\u6743\u5229\u975e\u5e38\u6709\u9650\u3002<\/p>\n<p>\u672c\u6587\u6700\u521d\u53d1\u8868\u4e8e\u7f8e\u56fd\u5f8b\u5e08\u534f\u4f1a\u8bc9\u8bbc\u90e8\u5546\u4e1a\u8bc9\u8bbc\u59d4\u5458\u4f1a\u3002<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Stephen L. Brodsky&#8230;<\/p>\n","protected":false},"author":3,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[13],"tags":[],"class_list":["post-1158","post","type-post","status-publish","format-standard","hentry","category-zh-insights"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA \u5bf9\u5ba2\u6237\/\u7ecf\u7eaa\u4ea4\u6613\u5546\u7ea0\u7eb7\u7684\u4ef2\u88c1\uff1a\u4ef2\u88c1\u5165\u95e8\u4ecb\u7ecd - Mazzola Lindstrom LLP<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.mazzolalindstrom.com\/zh-hans\/finra-arbitration-of-customer-broker-dealer-disputes-an-overview-for-the-uninitiated\/\" \/>\n<meta property=\"og:locale\" content=\"zh_CN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"FINRA \u5bf9\u5ba2\u6237\/\u7ecf\u7eaa\u4ea4\u6613\u5546\u7ea0\u7eb7\u7684\u4ef2\u88c1\uff1a\u4ef2\u88c1\u5165\u95e8\u4ecb\u7ecd - Mazzola Lindstrom LLP\" \/>\n<meta property=\"og:description\" content=\"Stephen L. 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