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Thomas said the six-year clock for eligibility for Finra arbitration should have started ticking in 2014, when more details were revealed about Merrill's mortgage securities work. In addition, he asserted that Merrill broke Finra rules when it was not forthcoming with the courts about its arbitration agreements with its former employees, who held brokerage accounts with their employer. Nearly every brokerage account includes a mandatory arbitration clause . "The violations have occurred until February of this year," Mr. Thomas said. Court judges tend to give more weight to statute-of-limitations arguments than arbitrators do, said Andrew Stoltmann, a Chicago securities attorney and president of the Public Investors Arbitration Bar Association. "It's a lot harder to get claims dismissed in arbitration than it is in court," he said. Another argument that Merrill could make is that their former executives were more savvy than normal investors. "In this case, it's not retail investors," Mr. Stoltmann said. "It's highly trained, highly financially sophisticated Merrill Lynch wealth managers who presumably had the firm's resources at their disposal to analyze these securities." But Mr. Thomas said his clients were as much in the dark about Merrill's mortgage-related securities as other investors during the financial crisis.

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