MATTER OF YARMAK v. PENSON FINANCIAL SERVICES INC.

2838, 651840/15.

146 A.D.3d 642 (2017)

2017 NY Slip Op 00433

45 N.Y.S.3d 446

In the Matter of SARAH YARMAK, Appellant, v. PENSON FINANCIAL SERVICES INC., Respondent.

Appellate Division of the Supreme Court of New York, First Department.

Decided January 24, 2017.


Even if the arbitrators' dismissal of petitioner's claims prior to the completion of her case in chief violated Financial Industry Regulatory Authority (FINRA) Manual rule 12504, which provides that dismissals at such an early juncture are "discouraged," the arbitrators were entitled to interpret the rule (FINRA Manual rule 12409). In any event, any error in interpretation is a mere error of law that does not provide a basis for vacatur (see Wien & Malkin LLP v Helmsley...

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