NOT FOR REPRINT
FINRA's Top 9 Biggest Investor Arbitration Awards in 2019
Slideshow October 18, 2019 at 11:37 AM
Share & Print
(Related: FINRA's Top 10 Biggest BD Arbitration Awards in 2019)
Financial Industry Regulatory Authority arbitration cases brought by clients against their brokers and/or brokerage firms in 2019 ranged from excessive trading to theft to losses in Puerto Rican bonds. Click through the gallery above to see which parties prevailed in each case. And then check out the biggest "industry" arb awards — broker versus firm and firm versus firm — for the year to date.
NOT FOR REPRINT
© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
