Mediation: An Alternate Path

Introduction

 

FINRA Mediation Rules and procedures provide parties with a process to settle disputes themselves. As a not-for-profit organization, FINRA has administered securities arbitration cases for more than 30 years. Today, FINRA Dispute Resolution administers over 90 percent of all securities arbitrations in America.

 

FINRA Dispute Resolution developed a mediation program to provide additional dispute resolution options for parties. The goal of the mediation program is to provide public customers, member firms, and associated persons with another effective way to resolve their disputes.

 

Mediation is non-binding negotiation facilitated by an experienced and independent neutral. Mediation allows the parties an opportunity to resolve their disputes quickly in an informal setting. The resulting settlements often save the parties substantial time and expense.

 

This brochure, FINRA Mediation: An Alternate Path To Resolving Securities Disputes, introduces individuals and firms, investors and investment professionals to FINRA Dispute Resolution's Mediation Program and to the many benefits of mediation.