Proposed Change in State Securities Law Out of Step With Neighboring States

by George Waldon  on Monday, Mar. 10, 2014 12:00 am   3 min read

Arbitration clauses and courtroom avoidance are common in the securities business. That norm stands in contrast to a not-so-modest proposal by Stephens Inc. to go straight to a judge to rule on enforcement actions by the Arkansas Securities Department.

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