What Investors Can Expect from FINRA's Dispute Resolution Process

This webcast explains in plain English what to expect from FINRA's arbitration and mediation processes, and includes an explanation of the differences between them and references to available resources for resolving disputes. This webcast was created to take the mystery out of FINRA's regulatory process.

 

View Webcast

 

Related Resources:

 

Resource Guide

 

FINRA DR Homepage

 

What Disputes Are Eligible for Arbitration?

 

Investor Complaint Center

 

Statement of Claim (part of “Uniform Forms Guide”)

 

FINRA Submission Agreement

 

Filing Fee Calculator

 

Financial Hardship – Request for Waiver: Online Claim Filing User Guide (p30)

 

Expedited Proceedings for Senior or Seriously Ill Parties

 

DR Regional Offices & Hearing Locations

 

Awards Database Online

 

Notice to Parties – Discovery Rules and Procedures

 

Discovery Guide

 

Mediation Submission Agreement

 

How to Find an Attorney

 

 

 

Important Viewing Notes:

Access
Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.

Required Software
Accessing the webcast requires Macromedia Flash 8.0 or higher. 

 

Download Macromedia FlashPlayer

Required Hardware
Your computer must have a sound card and speakers (internal or external) in order to hear the webcast.