What Cases are Eligible

Arbitration

Arbitration cases are eligible to be heard in FINRA's forum if the following criteria are met:

  • For disputes with investors:
    • The cases involve an investor and an individual or entity registered with FINRA, such as cases between investors and brokers, between investors and brokerage firms, and between investors and brokers and brokerage firms; and
    • The claim is filed within 6 years from the time the events giving rise to the dispute occurred.
  • For disputes involving industry parties only:
    • The cases involve an individual or entity registered with FINRA, such as cases between brokerage firms, between brokers, and between or among brokerage firms and brokers; and
    • The claim is filed within 6 years from the time the events giving rise to the dispute occurred.

Mediation

Your case must meet the following criteria to be eligible for mediation:

 

Generally, any dispute that is eligible for arbitration would also be eligible for mediation, provided all parties agree.  The parties may agree to mediate all of the issues involved in the dispute, individual issues, or procedural matters.