Milliner

BACKGROUND

23 In December 2014 Petitioner filed a statement of claim with FINRA against Respondents, 24 Mutual Securities, Inc. (“MSI”), and Bock Evans Financial Counsel, Ltd. (“BEFC”). (Dkt. No.

26 1 Record citations are to material in the Electronic Case File (“ECF”); pinpoint citations are to the ECF-generated page numbers at the top of the documents. 27 2 All parties have consented to the jurisdiction of a magistrate judge pursuant to 28 U.S.C. § 1-1 at 2.) Petitioner alleged that Respondents, as licensed and registered principals of MSI, a broker-dealer registered with FINRA, violated federal law and state law and FINRA rules in managing an investment account funded by Petitioner’s retirement savings. (Dkt. No. 1-1 at 2-3.) Petitioner asserted multiple claims and sought over $3 million in compensatory damages. (Id. at 3.) Petitioner served her statement of claim on Respondents in January 2015. (Dkt. No. 13-1, Ex. A at 2.) Respondents, as FINRA-regulated financial advisors, agreed to submit to FINRA arbitration in February 2015. (Dkt. Nos. 1 at ¶ 9 & 10 at 6-7; see also Dkt. No. 1-3, Ex. 3.) The FINRA Arbitration Submission…