FINRA Dispute Resolution Statistics

November 28, 2011

Summary Arbitration Statistics October 2011

New Case Filings through October:

2009	2010	2011	2011 vs 2010
6,114	4,768	4,033	-15%

Number of Cases Closed through October:

2009	2010	2011	2011 vs 2010
3,683	5,129	5,196	-1%

Turnaround Time* (in months) through October:

* The timing of the arbitration process is heavily influenced by Code of Arbitration Procedures time limits, the parties, and the panel.