- Auction Rate Securities (ARS)
Investors covered by auction rate securities final settlements with the SEC, FINRA, and the states may participate in a Special Arbitration Process (SAP) to recover consequential damages.
- Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Brokers may seek to have a reference to allegations or involvement in an arbitration removed from their Central Registration Depository (CRD®) System records. The process of removing this information from the CRD system is called "expungement."
- Voluntary Program for Large Cases
The program enables parties to customize the administrative process to better suit the special needs of a large case.
- Morgan Keegan
This notice advises parties with claims against Morgan Keegan involving the RMK Bond funds.
- Short List Option to Reduce Extended List Appointments
In an effort to increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement, rather than accept an extended list appointment.
- Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
- Disputes Between Investors and Investment Advisers Who are not FINRA-Regulated Firms
FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.