COVID-19 and the Potential for a Significant Increase in FINRA Arbitrations

Daniel Strong

Recent market volatility associated with COVID-19 has the potential to result in a large uptick in arbitration filings with the Financial Industry Regulatory Authority.  Following a February to March decrease in the S&P 500 of over 34 percent and the recent historic dip in oil prices, investor confidence is understandably shaken.  For broker-dealers and registered…