Arbitration Statistics

Arbitration Statistics 2018

Annual 2017 (ending December 31, 2017)

• six new cases were opened and seven cases were closed in 2017
• there were seven open cases at the end of the year awaiting final determination
• new cases dealt with issues of misrepresentation, negligence, unsuitable trading and breach of fiduciary duty
• the average claim amount was $375,000

Arbitration Statistics 2017

Annual 2016 (ending December 31, 2016)

• four new cases were opened and three cases were closed in 2016
• there were fourteen open cases, five of which were deemed inactive, at the end of the year
• cases dealt with negligence and unsuitability
• the average claim amount was $200,000

Arbitration Statistics 2016

Annual 2015 (ending December 31, 2015)

• four new cases were opened and one case was closed in 2015
• there were nine open cases, three of which were deemed inactive, at the end of the year
• cases dealt with negligence and misrepresentation
• the average claim amount was $320,000

Arbitration Statistics 2015

Annual 2014 (ending December 31, 2014)

• two new cases were opened in 2014, and one of the cases was closed shortly after as the claimant withdrew its claim
• in total, there were four open cases, three of which were deemed inactive at the end of the year
• cases dealt with breach of fiduciary duty and unsuitable trading
• the average claim amount was $48,000

Arbitration Statistics 2014

Fiscal Year 2014 (ending June 30, 2014)

• two new cases were opened, one previously closed case was reopened and three cases were closed in fiscal year 2014
• cases dealt with unauthorized trading and breach of fiduciary duty
• the average claim amount was $56,775

Arbitration Statistics 2013

Fiscal Year 2013 (ending March 31, 2013)

• four cases were opened in fiscal year 2013, and two cases settled with durations of one year or less
• cases dealt with issues of misrepresentation, breach of fiduciary duty, negligence, unsuitable trading and churning
• the average claim amount was $153,148

Arbitration Statistics 2012

Fiscal Year 2012 (ended March 31, 2012)

• a total of seven cases were opened and three cases were closed in fiscal year 2012
• the majority of the cases dealt with issues of negligence, suitability and breach of fiduciary duty and misrepresentation
• the average claim amount was just over $320,000

Arbitration Statistics 2011

Fiscal Year 2011 (ended March 31, 2011)

• a total of seven cases were opened and four cases were closed in fiscal year 2011
• the majority of the cases dealt with issues of negligence, suitability and misrepresentation, breach of fiduciary duty, lack of supervision and unauthorized trading
• The average claim amount was just over $78,700

Arbitration Statistics 2010

Fiscal Year 2010 (ended March 31, 2010)

• a total of five cases were opened in fiscal year 2010
• the duration of the cases ranged from two to 16 months
• the majority of the cases dealt with issues of misrepresentation, negligence and supervision and unauthorized trading
• the average claim amount was just over $100,950

Arbitration Statistics 2009

Fiscal Year 2009 (ended March 31, 2009)

• a total of nine cases were opened, seven cases were closed, and two open cases were inactive in fiscal year 2009
• the majority of cases dealt with issues of unsuitable trading and negligence, unauthorized trading and supervision, breach of fiduciary duty, misrepresentation and suitability
• the average claim amount was just over $89,900

Arbitration Statistics 1996 -2008

Total number of arbitration cases opened