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Arbitration Awards To Investors Rising; Upfront Fees Are Hefty; Investors are winning more claims vs. brokers, with dollar awards up.(FUNDS & PERSONAL FINANCE)(INVESTMENT TRENDS)
Byline: PAUL KATZEFF
Got a beef with your broker? If your brokerage can't resolve it to your satisfaction, you can seek arbitration.
That may be your only choice, since most brokerages won't open an account unless you agree to forgo lawsuits in the event of a dispute.
And after three bear-market years, 2003 is on track to become the third straight year with more arbitration decisions involving individual investors, says the National Association of Securities Dealers, the securities industry's self-policing body.
At today's pace, 2003 will be the third year in a row with more decisions favoring individual investors.
NASD says its data covers 90% of all claims involving U.S. brokerages.
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