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Articles in the Securities Arbitration Category

[27 Mar 2011 | No Comment | 3,923 views]
FINRA Securities Arbitration Statistics – February 2011

Summary of Securities Arbitration Statistics as reported by FINRA for the two-month period ended February 2011.

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[25 Mar 2011 | No Comment | 3,737 views]
Video: How do attorneys decide which securities fraud cases to pursue?

In this video, Jason M. Kueser discusses different factors that securities fraud attorneys consider in determining which cases to pursue.

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[15 Mar 2011 | No Comment | 3,469 views]
Video: How can investors review the background of a stockbroker or investment adviser?

In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.

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[8 Mar 2011 | No Comment | 3,448 views]
Video: What are the typical causes of action in securities law cases?

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Also available at KansasCityLaw.tv
In this video, Jason M. Kueser discusses typical causes of action in securities cases. These typical actions are: (1) fraud, (2) securities fraud, (3) breach of fiduciary duty, (4) breach of contract, (5) violation of state securities laws, (6) violation of federal securities laws, and (7) negligence.
This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any legal topic, you …

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[7 Mar 2011 | No Comment | 3,073 views]
Video: What is Investment Fraud?

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Also available at KansasCityLaw.tv
This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any legal topic, you should consult with an attorney and should not rely solely upon information provided via the internet. All content provided on this blog are subject to the Disclaimer at the bottom of the page.

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[6 Mar 2011 | No Comment | 2,502 views]
Video: What is securities fraud?

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Also available at KansasCityLaw.tv
This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any legal topic, you should consult with an attorney and should not rely solely upon information provided via the internet. All content provided on this blog are subject to the Disclaimer at the bottom of the page.

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[1 Feb 2011 | No Comment | 2,266 views]
FINRA Arbitration Statistics – December 2010

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The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010.
For the year, there were 20% fewer cases filed (5,680 v. 7,137 in 2009) and there were 6,241 cases closed (a 37% increase over 2009). Of these cases, 22% were resolved by arbitration hearing, 52% were resolved by direct settlement between the parties, 10% were resolved through mediation, and 16% of cases were either withdrawn or resolved through “other” method.
Results for investors also improved …

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[1 Mar 2010 | No Comment | 18,693 views]

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FINRA recently reported its January 2010 arbitration statistics. For the month ended January 31, 2010, 456 claims had been filed. This represents a decrease of 14% as compared to the number of cases filed in January 2009 (528). The average turnaround time for cases that have resulted in an arbitration hearing (i.e., cases that did not settle prior to the hearing) has declined by 11% (11.6 months from 13.0 months).
In addition, FINRA has also noted a significant increase in the …

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[20 Jan 2010 | No Comment | 2,821 views]
FINRA Securities Arbitration Statistics – December 2009

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From SecuritiesArbitrationBlawg.com:
FINRA recently reported its December 2009 arbitration statistics. For the year ended December 31, 2009, 7,137 claims had been filed. This represents an increase of 43% as compared to the number of cases filed in 2008 (4,982). The average turnaround time for cases that go to an arbitration hearing has declined by 11% (14 months from 15.7 months).
The most frequent securities and investment claims/controversies involved in arbitration continue to be breach of fiduciary duty, misrepresentation/fraud, negligence, and breach of …

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[1 Dec 2009 | No Comment | 2,787 views]

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FINRA recently reported its October 2009 arbitration statistics. As of October 31, 2009, 6,113 claims were filed, compared to only 3,971 as of October 31, 2008, an increase of 54%. FINRA also reported that 3,697 cases were closed through October and that the average turnaround time for cases that go to an arbitration hearing has declined by 9% (14.3 months from 15.8 months).
The most frequent securities and investment claims/controversies involved in arbitration continue to be breach of fiduciary duty, misrepresentation/fraud, …

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