Party's Reference Guide
FINRA Dispute Resolution consolidated into a single packet a host of important information and forms that parties need in the arbitration process. The packets contain general information about FINRA and the arbitration process, tips for contacting staff in the four regional offices by email, and important mediation matters. Note that each packet contains a "special procedures" section for parties whose cases will be conducted or decided in the states of California, Florida, and New Jersey. These states have unique laws that govern proceedings conducted or decided within their boundaries.
Because the rules that govern the simplified (paper or small claims) proceeding are different from those that govern the hearing, FINRA designed a special party packet for each proceeding.
You may access the packet that is appropriate for your case by selecting from the menu below. This will take you to the Table of Contents for your packet of information and forms.
Please feel free to contact the regional office that is administering your case if you have any questions about these packets or if you need further information.