Representative Matters

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Client: Individual
Represented an individual registered representative and his financial planning business in a dispute filed in state court, despite the fact that plaintiffs had signed an arbitration agreement with the representative’s broker-dealer. The customers refused to arbitrate on the basis that the investment advisory agreement they signed with a third party did not contain an arbitration provision. 

Briggs successfully compelled the plaintiffs to arbitrate by arguing that multiple agreements executed at the same time as parts of one transaction must be read and construed together.

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