Arbitrator Application

Instructions for Submitting a Paper Application

You may complete and submit a paper application by downloading the PDF version (1.25 MB). You will need to hand write or type your application and complete the following before mailing it to FINRA:

 

  • sign the application;
  • complete both pages and sign the Consent to Background Search and Investigation form;
  • complete and sign the Social Security Number Verification form;
  • provide all dates in the education, employment and training sections. The employment section should not have unexplained gaps of more than 30 days;
  • include a typed or clearly printed business background;
  • include a written explanation pertaining to your skills/expertise, if applicable;
  • confirm that your employment and/or disclosure information on the application matches the information in CRD, if applicable;
  • review your entire application to make sure it is legible; and
  • include the $80 verification fee. Please note that this fee is required to verify the background information provided by the applicant.

 

Submit your completed application to:

 

FINRA Dispute Resolution
Department of Neutral Management
One Liberty Plaza
165 Broadway, 27th Floor
New York, NY 10006
 

 

Note about hearing locations: FINRA assigns each approved arbitrator to one primary hearing location, which is the closest in-state hearing location to an arbitrator’s primary residence. Arbitrators who split their time between two residences may request to serve in an additional, or secondary, hearing location. If FINRA approves an arbitrator’s request to serve in a secondary hearing location, arbitrators agree to pay their own travel and accommodation costs associated with serving in the secondary hearing location. Arbitrators must also have the availability and flexibility to serve in secondary hearing locations without causing a delay in the hearing process. Arbitrators should include in the business background section of their disclosure reports in which hearing location they plan to spend certain months of the year, so parties are aware of any potential scheduling conflict at the start of the proceedings. Please see the Guidelines for Arbitrator Reimbursement for more information about expense reimbursement

 

Questions on the Application Process

Please contact us by email or (855) 209-1620 or (212) 858-3999 if you have any questions about the application process.

 

Refer an Arbitrator Candidate

Do you know someone who may be interested in becoming a candidate? Please email their name and contact information to Erroll Angara.