Friday, February 22, 2019

FINRA Arbitration Filings Increase in 2018

FINRA has released its latest arbitration statistics, showing  4,325 cases filed in 2018, 63% of them customer cases, 38 % industry disputes with a 15 month average time frame, start to finish.

A continued interesting statistic is the fact that only 14% of the cases were resolved after a hearing, with 67%  being resolved in mediation or by direct settlement between the parties.

Customers continue to win 40% of the cases that go to hearing. Adding in the settlements, which we can assume was a "win" for the customer since they agreed to settle the case, customers "win" nearly 75% of the time a case is filed.

Now, we can dispute what a "win" means, and the significance of the statistic, clearly customers are getting results in arbitration.

The full statistics are online at

Mark Astarita is a nationally recognized securities attorney who has represented investors, financial professionals and investment firms in over 700 securities arbitrations. To find out if he can assist you in resolving a securities dispute, call him at 212-509-6544 or email him at

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