Award Survey: 2017 Employee-Member Damage Awards
on

We complete our series of summaries focusing on 2017 Awards by turning to Employee-Member cases in which the claimant requested more than nominal compensatory damages.

...Read More

A Peek Behind a Selling Away Award: Fry v. Comprehensive Asset Management and Servicing Inc. & Steele
on

A PEEK BEHIND A SELLING AWAY AWARD: FRY v. COMPREHENSIVE ASSET MANAGEMENT AND SERVICING INC. & STEELE, FINRA ID #17-01767 (Indianapolis, IN,

...Read More

Explained Award: Wilczynski vs. Aegis Capital Corp.
on

EXPLAINED AWARD: WILCZYNSKI v. AEGIS CAPITAL CORP., FINRA ID #17-01664 (Washington, DC, 7/17/18).

The Six-Year Eligibility Rule (FINRA Rules 12206 and 13206) is unique to securities arbitration and,

...Read More

Post Image
Award Survey: Top BDs of 2017 – Part I
on

In this two-part survey, the latest in our series on 2017 Awards, we focus on the broker-dealers (BDs) with the largest number of Awards issued that year;

...Read More

Post Image
Award Survey: Forum Cost Assessments in 2017 Customer-Member Awards
on

How much of the forum costs each party must pay is a matter for the discretion of the Arbitrators. Our second annual analysis of cost assessments in Customer-Member Awards (see SAA 2016-21 (May 31) for the original survey) once again reveals a decided tendency to favor customer claimants.

...Read More

Post Image
Explained Award: Jones vs. American Portfolios Financial Services Inc.
on

JONES v. AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC., FINRA ID #17-01414 (Baltimore, MD, 4/13/18).

This 20-page Award, involving a broker who became a beneficiary of his client’s Will,

...Read More

Read Our Recent Blog