Daily Archives: March 3, 2009


2008 Securities Arbitration Filing Trends: Type of Controversy

FINRA released the final tallies for 2008 arbitration filings.  2008 witnessed marked change in trends regarding the type of controversy.  Filings citing “Omission of Facts” increased 337% from 2007 levels. Misrepresentation saw the second largest jump in filings with an increase of 171% over 2007.  In 2007, Misrepresentation was the 5th most frequently cited type of controversy and it jumped to more »