image_pdfimage_print
FINRA DRS STATS AT THE HALF-WAY MARK: A TALE OF TWO CASELOADS
on

FINRA Dispute Resolution Services (“FINRA-DRS” or “DRS”) posted cumulative caseload statistics through June. While there’s still no surge in Customer cases, Industry filings are way up.

...Read More

2016-19 Customer Award Survey in an Era of Securities Arbitration Stability
on

By Harry A. Jacobowitz*

Introduction

Every so often, we take stock of how FINRA arbitration results change over time, by analyzing Award win rates and damage recoveries year-to-year.

...Read More

FINRA Stats, 3/20: First Quarter 2020 Ends with Little Change in Case Volume from Last Year…, But Wait!
on

In our monthly report on the February 2020 statistics FINRA Dispute Resolution Services* (FINRA-DRS) posted at the end of March (see SAA 2020-13), we noted that the case filing statistics were coming in,

...Read More

What’s Past is Prologue – All Over Again. What’s Ahead for Arbitration Filings in the Wake of Recent Volatility
on

By George H. Friedman, SAA Editor-in-Chief and Richard P. Ryder, SAC Founder and President

The crashing and rebounding capital markets in the wake of the worldwide Coronavirus outbreak causes the Alert’s George H.

...Read More

FINRA Stats, 12/19: Another Slow Year at FINRA-ODR, in Terms of New Filings
on

Take the final tally of 3,757 new case submissions that FINRA Office of Dispute Resolution recorded during the past year, deduct the reported total of some 500 cases for the month of August,

...Read More

NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
on

Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,

...Read More

Read Our Recent Blog