CFI’s Kamran Fotouhi provides guidance in Investment News for broker-dealers, on FINRA’s scrutiny of 529 Plans.
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.
ArbSelector® is a highly flexible research tool. Depending upon your unique priorities and preferences, many of the weightings for the ArbSelector® metrics can be adjusted to provide customized rankings. In addition, ArbSelector® reports always distinguish Customer cases from Employment cases, so that each arbitrator can be more accurately assessed, based on prior relevant cases.
ArbSelector® also offers a final analysis of the selected panel, which serves as a useful tool for case evaluations and client communication, as well as settlement negotiations and mediation. ArbSelector® can also provide ongoing due diligence through the duration of any case, and report on any new awards released by FINRA involving your panel’s arbitrators.
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.
Extracted directly from FINRA records, ArbReporter® contains all of the essential information, covering the nature of the case; relief request; all arbitrators involved; claimant and respondent; case disposition including any award amount and other damages; attorney names and affiliations.
To request a complimentary subscription to ArbReporter®, submit the form below.
Your Name (required)
Your Email (required)
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.
The key to the success of MockArb® is its close adherence to the traditional scientific method: at every stage of the evaluation process – whenever a new witness or piece of evidence is introduced – the impact of that information or impression on the mock panel members is carefully evaluated before the process proceeds.
MockArb® can be structured to accommodate a broad range of case complexities, timeframes and budgets.