Author "Gervis Doleac" Page

Author Nick: GervisDoleac
Name: Gervis Doleac
Site:


Author Articles List:

Sort by:

FINRA arbitration cases increases

The volume of FINRA arbitration cases continues to swell, with a than 40% increase in 2009 over the year before. With markets in flux and tough business conditions, broker/dealers increasingly face allegations involving breach of fiduciary duty, laxity, misstatement, unsuitability, breach of contract, and failing to manage. Those corporations that also offer financial planning services find themselves far more susceptible to claims.