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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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