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JAN 24, 2013 - Yahoo! News

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Citi and UBS must arbitrate auction rate case: court

(Reuters) - Two Wall Street brokerages must arbitrate a healthcare organization's claim stemming from $234 million in auction rate securities in a dispute over who is considered a "customer" for purposes of securities arbitration, a federal appeals court panel has ruled. Brokerage units of UBS AG and Citigroup Inc failed to convince the U.S. 4th Circuit Court of Appeals that Carilion Clinic, based in Roanoke, Virginia, was not a "customer" to either firm under the Financial Industry Regulatory Authority's (FINRA) securities arbitration rules, according to an ... Read More

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