SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume XI, No. 4, p. 3
Publication Date: January 2000
Award Year(s) Reviewed: 1997-1998
Survey Topic: Analysis of broker-dealer participation in pilot program offering private forum arbitration alternative for Customer-Member cases.
Number of Charts: 1
Abstract
Analysis of 100 Customer-Member Awards issued 1997-1998 disproves criticism aimed at brokerage firms participating in a pilot program. The two-year "SICA Pilot" permitting arbitration of Customer-Member cases at private forums, e.g., AAA, JAMS, as an alternative to NASD or NYSE is registering sizeable commitment from participating firms, despite allegations of low commitment on the part of the broker-dealers. Data for at least three of the seven firms suggest a potential commitment of more than one-third of their cases to the "SICA Pilot" over the two-year experiment.
File Size Format: File Size Format: AAA JAMS Pilot 1997-1998, 20 Kb Adobe PDF
Go to survey: AAA JAMS Pilot 1997-1998Return to Surveys Page
Adobe® Acrobat® Reader® is needed to view, print and download the surveys.Click below to download a free copy
Please read our copyright and disclaimer, and privacy statement.
Site Designed By: World Internet Resources.
Writer: Susan Dillon.