SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume 4, No. 2, pp. 7 - 11
Publication Date: February 1991
Award Year(s) Reviewed: 1989-1990
Survey Topic: Employment-related Awards (See also Employment 1989-1992)
Number of Charts: 4
Abstract
Working within the limitations of a small sample, SAC's initial survey of employment Awards nevertheless manages to draw a useful profile of the group of earliest industry disputes (mostly NYSE) accessible to SAC in the era of public availability.
The charting of wins, losses and damages by type of employee claim and a textual review of counterclaim activity together provide enough data for reasonable speculation on strategy and tactics on both sides.
Member-initiated Awards for the top five broker-dealers are analyzed by forum choice, wins, and Award volume; the latter figure in some cases noteworthy, given the number of registered representatives associated with the firm.
File Size Format: Employment 1989-1990, 24 KB Adobe PDF
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