Arbitration & Mediation

What's New

6.27.08 Arbitrator Call-In Workshop Audio of the June 19 arbitrator call-in workshop discussing, using the pre-hearing conference to move cases along, discovery and managing the hearing is now available.

6.25.08 Discovery Arbitrator Pilot FINRA Dispute Resolution has expanded its voluntary discovery arbitrator pilot and added non-public arbitrators to the pilot for certain intra-industry cases.

6.17.08 Statistics Dispute Resolution Statistics Have Been Updated for the Month of May

5.09.08 Regulatory Notice SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008

Archive of Recent Announcements

FINRA Dispute Resolution

Although most business in the securities industry is completed without problems, disputes and controversies occasionally arise. FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms, and individual registered representatives.

Frequently Used Forms

Questions and Feedback

Investor Complaint Center File an investor complaint with FINRA

Update Your Arbitrator Profile

Página de Web en Español/ Spanish Language Web Page

View Dispute Resolution Statistics

Arbitration Evaluation Form

Out-of-State Representation