FINRA Dispute Resolution Statistics

STOCKBROKER LAW - Posted on November 18, 2015

The Financial Industry Regulatory Authority (FINRA) recently released summary of arbitration statistics as of August of 2015, including
considerable historical statistics from previous year filings going back fifteen years to the year 2000.
Top categories and filings include controversies involving margin calls, churning, unauthorized trading,
failure to supervise, negligence, omission of facts, breach of contract, breach of fiduciary duty,
unsuitability, misrepresentation, corporate bonds, certificate of deposit, mutual funds, options, common
stock, limited partnerships, annuities, preferred stock, variable annuities, derivative securities, and
auction rate securities. While the majority of cases originally submitted to arbitration are resolved
for some, approximately 18% of all cases submitted are ultimately 25% decided by arbitrators with the
balance being resolved through direct settlement by parties, mediation, withdrawal and other means of
resolution. Additionally, recent statistics indicate that of the current available pool of 6,420
arbitrators in the United States, over 55% (3,543) of these arbitrators are categorized as non-public
arbitrators meaning that they’ve had considerable previous affiliations with the Securities Industry.

We offer free initial consultation to investors who feel they have been victimized in the financial
markets. For an appointment, please contact The Law Offices of Timothy J. O’Connor at
518-426-7700.