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

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Award Survey: 2001-18 Clearing Broker-Dealer Liability
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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,

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Award Survey: 2017 Employee-Member Damage Awards
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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.

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Award Survey: Top BDs of 2017 – Part II: Use of Counsel
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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,

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Award Survey: Top BDs of 2017 – Part I
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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;

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Award Survey: Forum Cost Assessments in 2017 Customer-Member Awards
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How much of the forum costs each party must pay is a matter for the discretion of the Arbitrators. Our second annual analysis of cost assessments in Customer-Member Awards (see SAA 2016-21 (May 31) for the original survey) once again reveals a decided tendency to favor customer claimants.

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