With scandals continuing to dominate the news and broker/dealers under more fire from the investing public, it come as little surprise that arbitration figures rose again in 2003. According to the NASD, 2003 brought more arbitrations than any year in a decade — by far.
WHY THEY'RE SUING
Most types of complaints rose in 2003, especially those related to breaches of fiduciary duty and negligence.
Registered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles.
Subscribe today to get the news you need and information you want from our e-newsletters. To preview the current issue click on the newsletter below. Subscribe Today!
