Court:
Alabama Supreme Court

Amicus Issue:
Whether there is a private cause of action for a violation of FINRA rules. Whether a statement in an account agreement wherein a customer acknowledges that every transaction in their account is subject to FINRA rules, and an alleged violation of those rules by the broker-dealer, create a breach of contract claim for the customer.

Counsel of Record:
Bass, Berry & Sims PLC

Chris G. Lazarini
Anna Grizzle

Other Amici:
None