• FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock brokers, financial advisors, etc. to the public.  This information includes employment history, license history, and other information, including investor complaints, arbitration claims, […]

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  • 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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  • 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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  • FINRA Arbitration Statistics – December 2010

    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 […]

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  • FINRA Securities Arbitration Statistics – September 2009

    From Securities Arbitration Blawg: FINRA recently reported its September 2009 arbitration statistics. As of September 30, 2009, 5,545 claims were filed, compared to only 3,471 as of September 30, 2008, an increase of 60%. FINRA also reported that 3,196 cases were closed through September and that the average turnaround time for cases that go to […]

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  • FINRA reports that it will expand Public Arbitrator Program

    On October 5, 2009, FINRA reported that it will expand its “pilot” program that allows investors who file eligible claims to select an arbitration panel that consists of three “public” arbitrators, rather than the traditional panel comprised of two “public” arbitrators and one “non-public” arbitrator. To accomplish this, FINRA has expanded the program to include […]

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  • Securities Arbitration In the News – Could Arbitration Help You Recover Investment Losses?

    From SecuritiesArbitrationBlawg.com: US News & World Report published an article today written by Rob Silverblatt. The article was entitled “Could Arbitration Help You Recover Investment Losses.” The author interviewed several attorneys who practice in the area (unfortunately, the author of this blog was not one of them) and discussed patterns and trends in securities arbitration […]

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  • Securities Arbitration Claims Rise by 65% from 2008

    From SecuritiesArbitrationBlawg.com: Helen Kearney, of bankinvestmentconsultant.com recently reported that as of August 2009, more arbitration claims had been filed than in all of 2009. Although there was a slight downturn in the number of claims filed in August, it is unclear whether this trend will continue. In large part, the number of claims will likely […]

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  • FINRA Dispute Resolution Estimates 56% Increase in Arbitration Claims in 2009

    From Securities Arbitration Blawg: According to the Financial Industry Regulatory Authority (FINRA), securities arbitration claims are on the rise in 2009. In fact, according to FINRA’s June Summary Arbitration Statistics, the self-regulatory organization anticipates that 56% more cases will be filed during the year, as compared to 2008 and that during the first six months […]

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