{"id":1438,"date":"2014-04-27T18:11:33","date_gmt":"2014-04-27T18:11:33","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/04\/finra_sees_10_rise_in_arbitrat"},"modified":"2022-03-11T09:18:53","modified_gmt":"2022-03-11T15:18:53","slug":"finra-sees-10-rise-in-arbitrat","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-sees-10-rise-in-arbitrat\/","title":{"rendered":"FINRA Sees 10% Rise in Arbitration Cases, Puerto Rico Bond Claims A Factor"},"content":{"rendered":"

\t\t\t\tAccording to statistics put together by the Financial Industry Regulatory Authority, the number of securities arbitration cases <\/a>brought by the self-regulatory agency is on target to exceed last year’s total. A likely contributor to the increase can be attributed to the numerous Puerto Rico municipal bond cases<\/a> already filed by investors who sustained huge losses. More of these are inevitable, especially as FINRA just increased its arbitrator pool to deal with cases involving muni bonds from the US territory.<\/p>\n

The broker-dealer regulator said that during this first quarter alone, 1,011 FINRA arbitration cases were submitted-a definite increase from the 919 securities arbitration claims filed during 2013’s first three months. However, the number of arbitration cases that were closed during this first quarter is less than in two years prior, with just 946 resolved. Compare that to the over 4,400 and 4,800 cases in 2013 and 2012, respectively. <\/p>\n

That said, 5O% of arbitration cases decided during this initial quarter rendered damage awards, which is more than in the last two years. The most common claim in FINRA arbitration cases filed in 2014 so far is breach of fiduciary duty. Negligence, failure to supervise, and breach of contract are the other leading claims. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to statistics put together by the Financial Industry Regulatory Authority, the number of securities arbitration cases brought by the self-regulatory agency is on target to exceed last year’s total. A likely contributor to the increase can be attributed to the numerous Puerto Rico municipal bond cases already filed by investors who sustained huge losses. 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