Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, January 22, 2010

Customers' Arbitration Claims Up 43% in 2009

FINRA reports 7137 arbitration claims were filed in 2009, up 43% from 2008.  Not surprisingly, the most common complaints against brokers were breach of fiduciary duty, misrepresentations, negligence, breach of contract, failure to supervise, omissions and unsuitability.

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