SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume VIII, No. 2, pp. 1 - 13
Publication Date: May 1996
Award Year(s) Reviewed: May 1989 - June 1995
Survey Topic: Aggregate data and analysis of the first seven years of publicly available SRO Arbitration Awards
Number of Charts: 9
Abstract
This survey covers the first 10,000 publicly available Awards issued by the SRO arbitration forums, May 1989 through June 1995. A narrative analysis includes glossaries and tutorials for interpreting the charts of customer-initiated cases and addresses caveats in data interpretation peculiar to forum-supplied case information. Multiple data charts survey customer cases for wins and recovery rates by 6-month time frames, claim size, punitive damages, top state situs, and major forum (the latter covering industry-initiated cases as well). A spreadsheet breaks out customer wins and recovery rates for the five most active broker-dealers by damage amounts and percentages. Case data is also shown for two smaller forums - NFA and AAA.
File Size Format: Public Awards 1989-1995, 84 Kb Adobe PDF
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