Help FINRA Protect Your Personal Confidential Information
Identity theft can occur if someone obtains a party’s personal information and uses it to take the party’s money or to commit fraud or other crimes. Identity theft can devastate a party’s credit rating and derail financial security. FINRA Dispute Resolution takes steps to protect parties’ personal confidential information throughout the arbitration process.
Except for arbitration awards, which are publicly available, the documents and information in FINRA Dispute Resolution case files are confidential. FINRA Dispute Resolution limits access to personal confidential information to FINRA staff members who need it to perform their job functions, and to arbitrators, mediators, or other individuals involved directly in the arbitration or mediation process. Examples of personal confidential information include:
FINRA takes numerous steps to protect personal confidential information. Here are a few examples of the precautionary measures we take:
FINRA does not disclose personal confidential information unless a party to whom the information pertains authorizes FINRA to make the disclosure. FINRA may, however, disclose personal confidential information under the following circumstances: to comply with a state or federal law or regulation; to respond to a subpoena, court order, government request, or other legal process; or as otherwise permitted by law.
Arbitrators and mediators also play an important role in protecting sensitive information. Here are some examples:
FINRA urges parties and their counsel to take steps to protect confidential information. Actions parties can take include the following:
By working together, we can ensure that personal confidential information is well protected.
1 Arbitration awards are made publicly available on FINRA’s website. Most arbitration awards do not contain personal confidential information. On occasion, an award might contain sensitive information, such as an account number. In that case, FINRA will redact that information from the award before we publish the award on our website.