FINRA Arbitration Awards Online Database

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), Forum, Document Type, or a combination of search parameters. 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 or typos 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 a copy of the order vacating an award is provided, we will post the document to the Arbitration Awards Online database. FINRA began this practice in March 2010. In February 2012, FINRA started posting all court orders that it receives 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 perform independent research to determine 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 may not reflect whether a party has appealed an order or the outcome of any such appeal.

 

To assist with research efforts, the FINRA Arbitration Awards Online database is enhanced to provide a "related documents" hyperlink that is included with the search results for all documents that contain the same case number.

 

On June 15, 2013, FINRA modified the database to enhance—in part—the search capabilities with regard to document types. For a period of time after June 15, the document type parameter may not yield all documents related to a case. To ensure you have identified all documents related to a case, we recommend that you search by case number or document text. We are working diligently to re-categorize documents so users can fully utilize the new features.

 

Begin your search: FINRA Arbitration Awards Online

 

Questions or comments on the Awards Database?  Please send us an email.