Mr. Carl’s attorney, Jason Archinaco, a partner at White and Williams LLP in Pittsburgh

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The firm drew up the contract.

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Thanks for replying.  Have you ever been to Arbitration?  Any ideas how this all works?

[quote=ivebeentaken]

Thanks for replying.  Have you ever been to Arbitration?  Any ideas how this all works?

I personally haven’t been through the arbitration process, but have read many of the briefs, summaries, and fillings that result from arbitration (as well as worked with Compliance Advisors that deal with these kinds of things) and fee pretty sure that the arbitration panel would not be made up of idiots - they can usually smell out a rat (they were picked for a reason).  If what you are saying is true, then I would be farely confident going into it.  Just be sure to have all your documentation in order (and listen to your lawyer).  Did you sign your clients name to the note?

Thanks for replying, any advice helps me sleep at night.

Yeah, not to beat it to death, and I’m positive you have learned this fact, but you can never sign a clients name.  Even as POA you are signing as the attorney in fact - but little chance of a firm letting you be your client’s attorney in fact on a POA.  When you say FINRA closed the investigation with no action taken, is that in regards to you signing your client’s name, or what your branch did to you?

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Indy, you're not helping.