SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume VII, No. 4 & 5, pp. 7 - 8
Publication Date: July 1995
Award Year(s) Reviewed: 1994
Survey Topic: Forum fee allocation in member-customer Awards (See also Forum Fees Customer 1994)
Number of Charts: None
Abstract
Part 1 of a two-part survey of forum fee allocation, this review of broker-dealer-initiated Awards issued in 1994 at AAA, NASD and NYSE revealed a few surprises. Admittedly a small sample, the findings went against common assumptions, with firms doing better than expected, by some measures, in going after customer account deficits through arbitration. Differences in win rates between the SROs and the AAA suggest that re-visiting forum choice in arbitration agreements could yield unforeseen benefits for the large firms.
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