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Employment Arbitration

8 posts

Arb Filing Trend Line

Predicting Finra arbitration filings based on market returns.

Broker-Dealers Calculations Employment Arbitration Regulatory Analytics Securities Arbitration Securities Litigation

Predicting Finra Arbitration Filing Trends

A story by Neil Weinberg in Bloomberg relied on Dynamic Securities Analytics (‘DSA’) analysis of […]

Broker-Dealers Calculations Data Analytics DSA in the News Employment Analytics Employment Arbitration FINRA Securities Arbitration Securities Litigation

DSA’s Securities Employment Dispute Stats Cited by Bloomberg

The move toward data analytics applied to broker supervision might seem on face value to […]

Algorithmic Bias Broker-Dealers Calculations Employment Analytics Employment Arbitration FINRA Regulatory Analytics Securities Enforcement Securities Regulation Securities Violations

The Potential for Bias against Women in FINRA’s High Risk …

Finra released a video interview on 1/10/18 with Mike Rufino, Executive Vice President and Head of […]

Broker-Dealers Employment Analytics Employment Arbitration FINRA Securities Arbitration Securities Litigation Securities Regulation

The Links between FINRA’s High Risk Rep Program and Expungement

Broker-Dealers Data Analytics Employment Analytics Employment Arbitration FINRA Interactive Analytics Regulatory Analytics Securities Arbitration Securities Litigation

How Were Finra Disputes Resolved in 2016?

Dynamic Securities Analytics president, Alison Jimenez, was quoted in today’s Bloomberg article by Neil […]

Broker-Dealers Data Analytics DSA in the News Employment Analytics Employment Arbitration Investment Advisors Regulatory Analytics Securities Arbitration Securities Litigation

Alison Jimenez Quoted in Bloomberg Article on Broker Raiding Cases

DSA President, Alison Jimenez, will be a speaker for the upcoming Association of Certified […]

Anti-Money Laundering Employment Analytics Employment Arbitration FinCEN Money Laundering Enforcement Presentations Suspicious Activity Reports

Alison Jimenez to Present on Problem Employees & AML Risk

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 […]

Broker-Dealers Employment Analytics Employment Arbitration FINRA Securities Arbitration

Which Broker/Dealers get Sued by Reps Most Often?