SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS

Survey Title: AAA JAMS Pilot 1997-1998
SAC Issue: Volume XI, No. 4, p. 3
Publication Date: January 2000

Award Year(s) Reviewed: 1997-1998
Survey Topic: Analysis of broker-dealer participation in pilot program offering private forum arbitration alternative for Customer-Member cases.
Number of Charts: 1

Abstract
Analysis of 100 Customer-Member Awards issued 1997-1998 disproves criticism aimed at brokerage firms participating in a pilot program. The two-year "SICA Pilot" permitting arbitration of Customer-Member cases at private forums, e.g., AAA, JAMS, as an alternative to NASD or NYSE is registering sizeable commitment from participating firms, despite allegations of low commitment on the part of the broker-dealers. Data for at least three of the seven firms suggest a potential commitment of more than one-third of their cases to the "SICA Pilot" over the two-year experiment.

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