FINRA Arbitration Awards

NYLS – FINRA Arbitration Awards Project

New York Law School has reviewed all arbitration awards issued in connection with Financial Industry Regulatory Authority (FINRA) arbitration matters. Initially, the awards are listed for 2011 – 2013. Awards for 2014  will soon be added, followed by awards for 2010 and then 2009.

Each set of awards is listed by year, with several columns going across the spread sheet for each year. Viewers will be able to search the names of the parties, the names of the arbitrators, a summary description of the various counts, the amount of damages awarded, etc., for each case. Please note that the FINRA arbitrations listed are only those initiated by a customer against a member, rather than those initiated by members against other members.

We believe that this new project will prove beneficial to all lawyers and industry professionals who are involved in this form of dispute resolution.

FINRA ARBITRATION AWARDS BY YEAR:

Instructions on How to Search Our Records

In order to search for relevant FINRA records, start by clicking the respective year that you wish to search. If you are interested in a particular party involved in an arbitration or a particular arbitrator, you may start by searching that party’s name in the “Search” box. The “Search” box functions as a way for users to search through the entire year’s database for any particular search terms. Therefore, types of securities, parties, particular outcomes, arbitrators, claims, damages, etc. can all be searched using this function. In addition, if users wish to search all filings in order of “Date of Filing” or “Date Completed,” they may do so by clicking on the column heading, and the arbitrations will automatically sort in that order.

To navigate the table, you can use your mouse to move the horizontal scroller at the bottom of the table.

NYLS STUDENTS INVOLVED IN THIS PROJECT

Special recognition goes to Nicholas Turner, Class of 2012, who had the idea and foresight to recommend that NYLS engage in this project. Then, several NYLS law students played an active role in completing the initial phase of this project and in updating the records. They are listed below:

Paul Accomando, Class of 2015
Darnella Banks, Class of 2015
Danilo Castelli, Class of 2015
Andray Cleghorn, Class of 2015
Christopher Coulson, Class of 2015
Naveen Dosanjh, Class of 2015
Michael Durnin, Class of 2014 – Team Leader/Co-Chair
Zachary Elliott, Class of 2013
Miranda Fansher, Class of 2015
Dorinda Foster, Class of 2015
Elizabeth Friedrich, Class of 2015
Mark Goldsack, Class of 2014
Scott Haggmark, Class of 2014 – Team Leader/Co-Chair
Jihad Hakamy, Class of 2014 – Team Leader/Co-Chair
Eric Hanson, Class of 2014
Dmitriy Ishimbayev, Class of 2014
Ashley Kerr, Class of 2015
Jeffrey Liu, Class of 2015
Vasily Malyshev, Class of 2014
Malvina Mardirosyan, Class of 2014 – Team Leader/Co-Chair
Lauren Marinelli, Class of 2015
Robert Martin, Class of 2014
Nicholas Melito, Class of 2013
Laura Molina, Class of 2015
Zulaihat Nauzo, Class of 2015
Morgan Pryor, Class of 2014
Kavi-Yuvraj Ramkissoon, Class of 2014 – Head of IT
Param Sahni, Class of 2013 – Team Leader/Co-Chair
Steven Schneider, Class of 2013 – Team Leader/Co-Chair
Nicholas Turner, Class of 2012 – Project Founder
Salome Vakharia, Class of 2015
James Wolff, Class of 2014

FOR FURTHER INFORMATION, PLEASE CONTACT:

Ronald H. Filler
Professor of Law
Director, Graduate Program in Financial Services Law
E: ronald.filler@nyls.edu

Houman B. Shadab
Associate Professor of Law
Co-Director, Center for Business and Financial Law
E: houman.shadab@nyls.edu