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Breach of Fiduciary Duty Tops FINRA Disputes Again
Good Risk Governance Pays 
Feb. 12, 2016
"According to dispute resolution statistics, published by the Financial Industry Regulatory Authority ('FINRA'), breach of fiduciary duty continues to lead the list of 'controversy types in customer arbitrations.' Negligence, failure to supervise, misrepresentation, breach of contract, suitability and omission of facts follow.... That breach of fiduciary duty allegations feature so prominently in FINRA customer disputes is notable since ERISA litigation patterns reflect a similar focus on how decisions are made by stewards of other people's money."
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