FINRA intends to codify its program to expedite administration of cases involving senior or seriously ill parties. As promised, we commissioned a survey on the program’s effectiveness,
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.
Broker-dealers who engage with customers as “introducing broker-dealers” don’t perform the “back office” tasks needed to clear and settle transactions. Rather, they rely on specialized clearing broker-dealers to perform those functions for the introducing BDs,
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.
In SAA 2018-24, we identified the four broker-dealers (BDs) with the largest presence in securities arbitration, with special emphasis on their Customer-Member Awards. This week,
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;