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10th Circ. Panel Restores $2.9M FINRA Award Against Adviser

By Katryna Perera ( December 17, 2025, 6:57 PM EST) -- A Tenth Circuit panel on Wednesday reinstated a $2.9 million Financial Industry Regulatory Authority arbitration award against a financial adviser who allegedly undermined a firm she worked for, ruling that she waived any objections she had to arbitrating with the plaintiffs before FINRA....

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