FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. Users may search for awards by case number, document text, date of award (by date range), or a combination of document text and date of award. Awards can be viewed online, printed, or downloaded as text-searchable PDF files.
Some of the older awards, especially those with poor resolution, may have non-alphabetic characters appear in the 'extract text' of the search results. This occurs when the document is digitally read during the scanning process and is not reflective of the actual underlying award.
On rare occasions, a FINRA arbitration award is vacated by a court. We are not always aware when this occurs. When we are provided a copy of the order vacating an award, we attach it to the respective award in the Arbitration Awards Online database. FINRA began this practice in March 2010.
In February 2012, FINRA started posting all court orders relating to arbitration awards (including court orders that deny a motion to vacate). FINRA posts court orders relating to arbitration awards only when FINRA receives copies of the orders. For this reason, FINRA encourages parties to research independently whether a court has vacated, confirmed, or modified a prospective arbitrator's past awards. Parties are further cautioned that FINRA's Arbitration Awards Online database might not reflect whether a party has appealed an order or the outcome of any such appeal.
If you have trouble viewing PDF files in FINRA Arbitration Awards Online please view this PDF help page.
Questions or comments on the Awards Database? Please send us an email.