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What are My Odds of “Winning” a Case?

Odds of a Successful Case for the Investor

Like traditional litigation, between 70% and 80% of securities arbitration cases are resolved through settlement, and mutual agreement of the parties. Cases that are not settled however, will have to go through the entire arbitration process, including a final evidentiary hearing on the merits. According to statistics gathered by the Financial Industry Regulatory Authority, customers of broker/dealers were awarded damages between 38% and 43% of the time in customer securities arbitrations.

Nevertheless, these statistics tell only a portion of the story. Ultimately, whether a customer wins or loses a case, and if they win, how much they win, is dependent on numerous factors. These factors include, but are not limited to:

  • The quality of the case
  • The severity of any misconduct
  • The nature of the damages
  • The selection of arbitrators
  • The experience of the parties’ counsel

If you are considering filing a case against a broker/dealer, you should have experienced counsel do a thorough review of you case and the supporting documents in order to get a much better understanding of what to expect with your case and the likelihood of recovery. Shepherd Smith Edwards & Kantas LTD LLP cannot provide assurance that there will be a recovery in any arbitration proceeding. However, our decision to accept a case is our belief that it has merit and that some recovery of money is warranted.

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Client Reviews
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient and I never felt rushed. I have already told friends how wonderful he is." L.R.
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