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Articles tagged with: Securities Arbitration

[27 Mar 2011 | No Comment | 3,887 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 | 3,708 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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[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resolved by direct settlement between the parties, 10% were resolved through mediation, and 16% of cases were either withdrawn or resolved through “other” method.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 | 2,786 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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[8 Nov 2009 | No Comment | 2,378 views]

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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 an arbitration hearing has declined by 9% (14.5 months from 16.0 months).
The most frequent claims/controversies involved continue to be breach of fiduciary duty, misrepresentation/fraud, negligence, and …

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[14 Oct 2009 | No Comment | 1,878 views]

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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 cases against the following 14 broker-dealers (from 11 broker-dealers):

Chase Investment Services (10 cases);
Oppenheimer & Co. (15 cases);
Raymond James Financial Services/Raymond James & Associates (10 cases);
Citigroup Global …

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[23 Sep 2009 | No Comment | 2,641 views]
Securities Arbitration In the News – Could Arbitration Help You Recover Investment Losses?

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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 filings. The article also noted the fact that concerns related to the arbitration process have caused politicians to push the Arbitration Fairness Act (AFA) through Congress. …

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[21 Sep 2009 | No Comment | 2,046 views]
Securities Arbitration Claims Rise by 65% from 2008

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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 depend on what happens in the markets over the next few months. In addition, there are different types of investments that have been the subject of significant …

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