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FINRA Arbitration Awards Online Search Help Page |
The Arbitration Awards Online system provides the general public with access to FINRA Arbitration Awards ("Awards"). The site maintains Awards from January 1989 to the present. Users may search for Awards by any of the following search parameters:
- Case Number
- Document Text
- Date Range
- Document Text and Date Range
If you are having trouble retrieving an Award, here are some suggestions to improve your search.
- Use just the Case Number.
- Check the spelling of any names or words to ensure that you have correctly entered the information.
- Include the text within quotation marks (e.g., "Jane Doe"), if searching by an exact phrase or words.
- Make sure the date range you provide is based on the date the Award was "served" (i.e., the Date of Service).
- Increase or decrease the date range to either widen or narrow your search results.
An Award may not exist for the following reasons:
- The document being researched is not a FINRA Award. FINRA Awards are assigned Case Numbers in the following format: YY-NNNNN (YY represents the last two digits of the year when the claim was filed, and NNNNN represents the case number assigned to the claim). A search by Case Number most often will provide the user with an immediate result.
- An award has not been rendered in the case.
- The search criteria you entered may be too broad. Try revising your document text.
- It may be an award rendered under the auspices of the New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, or the Municipal Securities Rulemaking Board which is not yet available on this database.
If you are still having problems locating an Award:
- Call the Arbitration Awards Hotline at (866) 689-0849, between 8:00 a.m. and 5:00 p.m., Eastern Time (ET); or,
- Send an email directly to FINRA Awards Online with your question(s) and/or comment(s).
To return to the Arbitration Awards Online system now, select the "Back" button on your Web site browser or click on the following link www.finra.org/AwardsOnline.
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