Updated Wednesday, April 16, 2014 as of 6:33 PM ET
Practice - Regulatory/Compliance
Arbitrators Can Subpoena Client Records
Wednesday, January 1, 2014

Our client is suing a former broker and we just received a subpoena for certain documents that appear to have nothing to do with the case. Do we need to comply with this subpoena?

K.S., Va.

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