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| FINRA Dispute Resolution | Mediation | Resources for Parties | Start an Arbitration or Mediation | Arbitration | Resources for Arbitrators and Mediators |
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Resources for Arbitrators and Mediators |
Serving as a FINRA Dispute Resolution Arbitrator The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties. If you qualify, you will join a group of dedicated individuals serving the investing public and the securities industry.
Members of FINRA’s Dispute Resolution arbitrator roster come from a broad cross-section of people, diverse in culture, profession and background. Our goal is to recruit arbitrators from different backgrounds, such as educators, accountants, medical professionals and others, as well as lawyers and securities professionals. If you have at least five years of business or professional experience, you may qualify to serve on our roster. Please note that all applications are subject to approval to determine if your credentials match our needs. We require all approved applicants to successfully complete our mandatory training.
New applicants to the FINRA Dispute Resolution arbitrator roster must pay a non-refundable application fee of $80. The purpose of this fee is to offset FINRA’s costs to verify the information provided by arbitrator candidates. If a roster application is denied for any reason, or the arbitrator does not successfully complete the mandatory training, the $80 application fee will not be refunded. Applications submitted without payment will be returned to the applicant. You must complete the background questionnaire within the arbitrator application kit. This form will be sent directly to the outside vendor with whom FINRA has contracted to perform verification services.
If you have additional questions after reading Frequently Asked Questions About Becoming a FINRA Arbitrator, you may contact Margaret Duzant at (212) 858-4310. Completed Applications and background questionnaires, letters of recommendation and any additional attachments should be sent to:
Where is there a need for arbitrators? This chart lists which hearing locations need qualified arbitrators on their rosters.
FINRA is committed to diversifying its roster of neutrals. Members of the roster are carefully selected from a broad cross-section of individuals diverse in culture, profession and background. Within the last several years, FINRA Dispute Resolution has reached out to minority groups in an effort to recruit new candidates to the neutral roster. FINRA encourages members of minority professional and alumni organizations to join the expanding field of alternative dispute resolution.
Mediator Recruitment and Training View information on how to become a Mediator with FINRA. |
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