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.

 

Overview of Arbitration & Mediation

Overview of the Dispute Resolution Process | Comparison of Mediation and Arbitration | Mediation: An Alternate Path | Mediation Myths & Realities | Arbitration Procedures | How to Find an Attorney

 

Arbitration Process

Arbitration Online Claim Filing | Arbitration Case Flow | Arbitration Case Guidance & Resources | Notices to Parties

 

Mediation Process

Request for Mediation | Mediation Case Flow