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Case Closed

Feb 1, 2011 12:00 PM, By Diana Britton


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Last year, the Financial Industry Regulatory Authority closed 6,241 arbitration cases, the highest number since 2006 and 37 percent more cases than in 2009. Meanwhile, the number of new arbitration cases filed last year was 5,680, a 20-percent drop from 2009. As in prior years, the number-one securities violation addressed in arbitration cases was breach of fiduciary duty, which involved 3,162 cases.


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