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Capital Forensics
  • HOME
  • ABOUT
    • About CFI
    • Leadership
    • Experts
  • SERVICES
    • Data Analytics
    • Litigation Support
      • ArbSelector®
    • Compliance, Regulatory & Risk Management Consulting
    • Fraud & Forensic Investigations
  • NEWS
    • Professional Insights
  • CONTACT
  • BROKER PROTOCOL
HomeNews & ViewsFINRAComments Regarding Quantitative Suitability Under FINRA Rule 2111

Comments Regarding Quantitative Suitability Under FINRA Rule 2111

  • October 19, 2016
  • Posted by: giawatkins
  • Category: FINRA
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Comments Regarding Quantitative Suitability Under FINRA Rule 2111. View article HERE.

 



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For nearly 25 years, we’ve assisted business leaders and litigation teams in thousands of successful case resolutions and regulatory inquiries. Every case has a story. At Capital Forensics, we believe each story is best told by combining detailed analysis, instructive exhibits, and effective, unbiased testimony. This is the premise upon which the company was founded, and it remains our commitment today.

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ArbSelector® is a comprehensive and interactive report that summarizes each potential FINRA arbitrator’s awards, key cases and red flags – ranking each prospective panelist, based on over 30 different metrics. ArbSelector® provides attorneys and paralegals with a statistical overview that reduces the time and expense involved in making fully informed, side-by-side evaluations of arbitrators, based on the arbitrators’ prior cases and awards.

Supplemental reports are also available through ArbSelector®, covering a broad range of information, including: claimant attorney / firm history; cross-referencing of arbitrator with attorney and brokerage firm, and with product / issue; million dollar decisions and reasoned awards; and objective feedback from 3rd parties and Capital Forensics on specific arbitrators.

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ArbReporter® is a weekly email communication – sent as a courtesy to Capital Forensics’ clients and other industry professionals upon request – that provides a comprehensive report of all FINRA awards from the prior week. ArbReporter® is a convenient tool for keeping up-to-date on FINRA arbitration activity.

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MockArb® is a proprietary process designed to provide legal counsel and their clients with valuable, first-hand insights into the case-related issues and human factors that are most likely to drive the outcome of a high-stakes arbitration decision. With this reliable barometer of how an arbitration panel is likely to rule; legal counsel are well prepared to develop an effective arbitration or settlement strategy.

Similar in concept to mock trial methods designed to prepare for litigation, MockArb® involves a comprehensive, disciplined process which replicates the selection, engagement and evaluation of arbitrators, and uses that mock panel to test arguments, witnesses, evidence and responses in a controlled environment that very closely replicates an actual arbitration.

The most enduring benefits of MockArb® for legal counsel, beyond the specific case strategy involved, involve the direct insights that CFI’s proprietary process can provide into the human factors – individual personalities, established opinions and biases – that always influence the decision-making process.

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MockArb® can be structured to accommodate a broad range of case complexities, timeframes and budgets.

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