Securities Law Prof Blog

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

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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.

http://lawprofessors.typepad.com/securities/2010/01/customers-arbitration-claims-up-43-in-2009.html

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