SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume VII, No. 6, pp. 5 - 6
Publication Date: August 1995
Award Year(s) Reviewed: 1994
Survey Topic: Forum fee allocation in customer-member Awards (See also Forum Fees Broker-Dealer 1994)
Number of Charts: None
Abstract
Part 2 of a two-part survey looks at forum fee allocation from the customer-claimant's viewpoint. A review of customer-initiated Awards (including Small Claims) issued in 1994 at AAA, NASD and NYSE yields useful information on the differentials in forum treatment of customers. As might be expected, monetary Awards tended to lighten the fee burden for claimants, while conversely, winning broker-dealers also tended to be let off the hook on fees. This pattern, however, did not hold consistently true across all forums.
File Size Format: Forum Fees Broker-Dealer 1994 24 Kb Adobe PDF
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