Online Claim Filing Frequently Asked Questions (FAQ)


  1. How can I file my arbitration claim online?
  2. If I submit an Arbitration Online Claim Information Form, does that mean that my arbitration claim has been filed with FINRA Dispute Resolution?
  3. What is the Arbitration Online Claim Information Form?
  4. How do I create an online account so that I can file the Arbitration Online Claim Information Form?
  5. What is the CRD® Lookup Tool that is part of the Arbitration Online Claim Information Form?
  6. When will I hear back from FINRA Dispute Resolution about my arbitration claim?
  7. What if I enter my information incorrectly on the Arbitration Online Claim Information Form?
  8. Am I required to use the Arbitration Online Claim Information Form?
  9. Whom can I contact if I am having technical trouble or if I have a question about the Arbitration Online Claim Information Form itself?
  10. What do I do if I cannot locate a given Member Firm or an Associated Person using the Lookup Tool that is part of the Arbitration Online Claim Information Form?
  11. How can I electronically upload the exhibits associated with my Statement of Claim?
  12. How are arbitration claim filing fees paid online?
  13. How do I assign multiple Claimants to a single relief request on the Arbitration Online Claim Information Form? For example, if two of three Claimants are seeking a particular type and amount of relief from all of the Respondents, how is this situation recorded on the Form?
  14. What are the minimum system requirements to use the Arbitration Online Claim Information Form?
  15. How can I file an electronic attachment to an online Arbitration claim that was previously submitted electronically?
  16. Can I begin working on the Online Arbitration Claim Filing Form and save it until I have gathered all of the necessary information without losing the information I've entered so far?
  17. In the Online Arbitration Claim Filing system, what happens if the ACH bank transfer payment transaction fails for some reason?
  18. What is an ACH bank transfer? How do I pay my online arbitration claim filing fees this way?

 

 

1. How can I file my arbitration claim online?
Your online arbitration claim may be filed on our website at the following link: http://www.finra.org/onlineclaimfiling. For your convenience, FINRA offers a detailed Online Arbitration Claim Filing System User Guide to walk you through the online filing process.
2. If I submit an Arbitration Online Claim Information Form, does that mean that my arbitration claim has been filed with FINRA Dispute Resolution?
Yes. However, you must submit all of the documents required by Code of Arbitration Procedure Rule 12302 for Customer Disputes and Rule 13302 for Industry Disputes, as well as filing fees specified by Rule 12900 for Customer Disputes and Rule 13900 for Industry Disputes in order for your claim to be processed. You can submit everything necessary for your claim online, including:
  • The Statement of Claim
  • Exhibits to the Statement of Claim
  • The signed Submission Agreement
  • Payment for the filing fees, or a request for a hardship waiver of the filing fees (with required documentation)
Hard Copy Submissions: If you are submitting the Statement of Claim, exhibits, or signed Submission Agreement in hard copy, you will need to provide sufficient copies for each Respondent and each Arbitrator. You may also pay the filing fees by check or money order or submit a fee waiver request in hard copy. Hard copy submissions must be received within 30 days of your initial claim submission. If FINRA has not received all parts of your claim within 30 days, your case will be closed without serving the claim, and FINRA will refund part of the filing fee in the amount indicated in the schedule under Rule 12900(c). Note: be sure to enclose a copy of the submitted Claim Tracking Form (showing the Tracking Number and submission date at the top) as a cover sheet to any hard copy documents or payment being mailed to FINRA. Please send any hard copy materials or check payments to:

FINRA Dispute Resolution
One Liberty Plaza
165 Broadway
27th Floor
New York, NY 10006-1404
3. What is the Arbitration Online Claim Information Form?
The Online Claim Information Form allows claimants to provide FINRA Dispute Resolution with an electronic summary of information concerning their claims.
4. How do I create an online account so that I can file the Arbitration Online Claim Information Form?
Please see "Creating an Online Filing Account" in Chapter 2 of the FINRA Dispute Resolution Online Arbitration Claim Filing System User Guide.
5. What is the CRD® Lookup Tool that is part of the Arbitration Online Claim Information Form?
FINRA maintains the qualification, employment, and disclosure histories of the more than half a million registered securities employees of member firms through the Central Registration Depository (CRD) system. The CRD lookup tool will assist you with finding the correct entity or person. You MUST use the CRD lookup tool when adding Member Firms or Associated Persons to the online form.
6. When will I hear back from FINRA Dispute Resolution about my arbitration claim?
Upon receipt of all required materials, FINRA will notify you of the case number and the staff member assigned to your case. You may direct any questions to that person. If you do not hear from us within 15 business days from the date you submitted all required materials, please contact FINRA via email. Please include the Tracking Number for your claim in the subject line of the email. You can also contact FINRA Dispute Resolution at (212) 858-4200.
7. What if I enter my information incorrectly on the Arbitration Online Claim Information Form?
The information provided via the Online Claim Information Form will be subject to verification and correction based on our review of the Statement of Claim. Any inconsistency between the Statement of Claim and the Online Claim Information Form will be resolved in favor of information contained in the Statement of Claim.
8. Am I required to use the Arbitration Online Claim Information Form?
No. Filing for arbitration online is voluntary.

If you wish to file online, you may access the Online Claim Information Form on the FINRA website.

If you wish to file via mail, FINRA Dispute Resolution's Uniform Forms Guide provides detailed instructions about how to file and contains all the necessary forms. The Guide can be found on the FINRA website.
9. Whom can I contact if I am having technical trouble or if I have a question about the Arbitration Online Claim Information Form itself?
For technical issues such as a forgotten password or error messages when accessing the Online Claim Information Form, you should call the FINRA Call Center at (800) 321-6273. For questions regarding the form itself, send an email.
10. What do I do if I cannot locate a given Member Firm or an Associated Person using the Lookup Tool that is part of the Arbitration Online Claim Information Form?
Choose "Other" as the party type, and enter the requested information without providing the BD number or CRD® number. Do NOT use "Other" just to avoid looking up Member Firms or Associated Persons in CRD.
11. How can I electronically upload the exhibits associated with my Statement of Claim?
Please see Chapter 4 of the FINRA Dispute Resolution Online Arbitration Claim Filing System User Guide for information on submitting a Statement of Claim, a signed Submission Agreement, or other documents electronically.
12. How are arbitration claim filing fees paid online?
The Online Arbitration Claim Filing system has been enhanced to allow you to pay the filing fee using a credit card or by ACH bank transfer. After you submit your claim, click the "Proceed to Pay Online" button located on the tracking form to go to the online payment page. If you select the "Bank Account" payment method, the filing fees will be debited directly from your checking account when you submit your claim online. Note that if you do not submit your claim online you cannot pay the filing fee online.
13. How do I assign multiple Claimants to a single relief request on the Arbitration Online Claim Information Form? For example, if two of three Claimants are seeking a particular type and amount of relief from all of the Respondents, how is this situation recorded on the Form?
You may choose as many Claimants for a single relief request as needed. If you wish to seek relief for all Claimants from the same Respondent(s), you can click the Add All button to select all of the Claimants at one time.
14. What are the minimum system requirements to use the Arbitration Online Claim Information Form?
The minimum requirements for using the system are:
  • Access to the Internet (Internet Explorer 7.0 or greater, or Firefox 3.0 or greater preferred); and
  • A screen resolution of 800x600 (1024x768 preferred).
15. How can I file an electronic attachment to an online Arbitration claim that was previously submitted electronically?
Once you have submitted your Form and attachments, you will not be able to provide any revisions through this system. At this point, you will need to communicate with FINRA directly in order to revise your Statement of Claim. Contact information will be sent to you in the correspondence you receive from FINRA. You can also contact FINRA Dispute Resolution at (212) 858-4200 or via email. Please include the Tracking Number for your claim in the subject line of the email.
16. Can I begin working on the Online Arbitration Claim Filing Form and save it until I have gathered all of the necessary information without losing the information I've entered so far?
Yes. The Dispute Resolution Online Arbitration Claim Filing system allows parties to save one or more partially completed claims and return to them later. Note that if you do not return to a partially saved form for 60 days, the form will be deleted from the system.
17. In the Online Arbitration Claim Filing system, what happens if the ACH bank transfer payment transaction fails for some reason?
If you get an error message when you submit your payment online using the "Bank Account" payment option, verify the routing number and account number of your checking account and try again. Most problems (such as insufficient funds in the account) will not be detected immediately. Your payment will appear to be successful, but you will receive an email several days later if a problem occurred with the bank where the account is located. Follow the instructions in the email.
18. What is an ACH bank transfer? How do I pay my online arbitration claim filing fees this way?
The Automated Clearing House system is the primary electronic funds transfer network that is used to make online payments. See http://www.fms.treas.gov/ach/index.html for more information. FINRA will accept payment of the claim filing fees by ACH bank transfer (also known as an "electronic check") using an ACH-enabled checking account. Most personal checking accounts with online banking access are ACH-enabled, but if you are not sure, you should contact your bank and confirm that your account is ACH-enabled. After you submit your claim, click the "Proceed to Pay Online" button located on the tracking form to go to the online payment page. Select the "Bank Account" payment option and then enter the Bank Routing Number (also known as an ABA Number or Routing Transit Number), Checking Account Number, and the account owner's full name.