Exit FINRA-SERIES-6 FINRA Investment Company and Variable Contracts Products Representative (IR)
Question 2 of 5
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Q2 Single choice

Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt believes
that he is still due money for some transactions he executed prior to his termination; Savvy believes
otherwise. Under FINRA's Code of Arbitration:

  • A

    Ari may either sue Savvy in a civil court of law or submit his claim to arbitration. If Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue

  • B

    Savvy in a civil court of law.

  • C

    Ari has six years to submit his claim to arbitration.

  • D

    both B and C are true statements.

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