Tag Archives : FINRA statistics


How were 2014 FINRA Disputes Resolved? Analysis of Dispute Resolution Statistics

  Dynamic Securities Analytics, Inc. analyzed the numbers provided by FINRA Dispute Resolution covering all 2014 closed cases and found: 2,447 closed Customer cases, representing 64% of all closed cases 7% of Customer cases were closed via arbitration with damages awarded to the Customer   Non-Customer Cases 1,391 Non-Customer cases (ex. Employee vs. Firm, Firm more »


Which Broker/Dealers get Sued by Reps Most Often?

FINRA arbitration isn’t just for customer disputes. As DSA found, over half of FINRA arbitrations are non-customer related. A large portion of the non-customer disputes occur when Associated Persons sue their current or former broker/dealer employer. Allegations in Associated Person vs Member Firm cases often include: defamation, reformation of U-5, wrongful termination and compensation disputes. more »


Analysis of 2013 FINRA Dispute Resolution Statistics

DSA analyzed how cases were closed through the FINRA dispute resolution process in 2013. Customer Cases FINRA reported that in 2013 there were 499 Customer Complaint cases decided by Arbitration (paper & hearing) and in 212 of these cases, the customer was awarded damages. Based on the statistics provided by FINRA, DSA determined: 2,772 Customer more »