Refund Requests for Charges Assessed In Error

If your firm feels that FINRA has assessed a fee in error, your firm should:

 

  1. Call the FINRA Gateway Call Center at (301) 869-6699 to open up a case, or
  2. Fax a letter to the Registration Management Unit at (301) 216-3716.
     

For either option, the firm should provide FINRA the following information:

 

  • A printout of the firm's Web CRD/IARD account for verification purposes,
  • The date and amount of the disputed charge,
  • Firm CRD Number, and
  • Individual CRD Number for whom the charge was assessed, if any.
     

FINRA will research the charge and refund the fee to the firm's Web CRD/IARD account if the charge was assessed in error.