No. 19-1015
Jeremy J. Walker v. Ameriprise Financial Services, Incorporated
Response Waived
Tags: 9-usc-10 arbitration-agreement arbitrator-powers federal-arbitration-act finra finra-code industry-code industry-dispute judicial-review mandatory-arbitration nasd securities-regulation
Latest Conference:
2020-03-20
Question Presented (from Petition)
1. Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member (such as Ameriprise) and associated person (such as Walker)?
2. Is FINRA Industry Code Rule 13504 a term in such arbitration agreements, such that an award exceeding the arbitrator's powers under the rule is subject to review under 9 U.S.C. §10(a)(4)?
Question Presented (AI Summary)
Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member and associated person?
Docket Entries
2020-03-23
Petition DENIED.
2020-02-26
DISTRIBUTED for Conference of 3/20/2020.
2020-02-19
Waiver of right of respondent Ameriprise Financial Services, Incorporated to respond filed.
2020-02-11
Petition for a writ of certiorari filed. (Response due March 16, 2020)
Attorneys
Ameriprise Financial Services, Incorporated
Danya Wayland Blair — Akerman, LLP, Respondent
Jeremy J. Walker