DR Portal FAQ for Arbitration and Mediation Case Participants

  1. How can I file my arbitration claim online?
  2. Is the Online Arbitration Claim Filing System the same thing as the DR Portal?
  3. If I submit an Arbitration Online Claim Information Form, does that mean that my arbitration claim has been filed with FINRA Dispute Resolution?
  4. What is the Arbitration Online Claim Information Form?
  5. How do I create an online account so that I can file the Arbitration Online Claim Information Form?
  6. What is the CRD® Lookup Tool that is part of the Arbitration Online Claim Information Form?
  7. When will I hear back from FINRA Dispute Resolution about my arbitration claim?
  8. Am I automatically registered on the DR Portal when I file my claim?
  9. Am I required to use the Arbitration Online Claim Information Form?
  10. Whom can I contact if I am having technical trouble or if I have a question about the Arbitration Online Claim Information Form itself?
  11. What do I do if I cannot locate a given Member Firm or an Associated Person using the Lookup Tool that is part of the Arbitration Online Claim Information Form?
  12. How are arbitration claim filing fees paid online?
  13. In the Online Arbitration Claim Filing system, what happens if the ACH bank transfer payment transaction fails for some reason?
  14. How can I file an electronic attachment to an online Arbitration claim that was previously submitted electronically?
  15. Can I begin working on the Online Arbitration Claim Filing Form and save it until I have gathered all of the necessary information without losing the information I've entered so far?
  16. What is the difference between accessing a case using a Claim Access Code and using the personalized link in the Invitation email to register for the case? What is a “Limited View”?
  17. What do I do if I enter my Claim Access Code wrong three times and lock myself out of the case?
  18. I’m pretty sure that I am typing my Claim Access Code correctly, but it says that the information is not correct. What am I doing wrong?
  19. Do I have to enter the URL in the Claim Notification Letter to retrieve a new case with the Claim Access Code?
  20. What is the difference between the Documents and the Drafts & Submissions tabs?
  21. On the Drafts & Submissions page, it seems that every time I click on "File Answer" or "Submit Documents" it saves a new draft. What are the criteria for how often it saves a Draft? I thought it would only save as a draft if I clicked "Save" while within the form.
  22. Can opposing counsel see my submitted rankings in the Portal?
  23. Do I have to use the same email address when I create an account on the DR Portal as I provided when I filed a claim or answer for a case I am representing?
  24. What is the difference between a Portal Contact, a Secondary Contact, and a Party with regard to the Users tab?
  25. What are the identifying codes that appear at the bottom of the emails I receive from FINRA when activity occurs on my cases?
  26. It looks like I cannot be logged into the FINRA Firm Gateway and the DR Portal at the same time. Is there a way around this?
  27. I invited a collegue using the “Invite New User”feature on the Users tab to assist me with my case, but now that person has left our firm. Can this person still access the case? How can I take away their access?
  28. Some buttons (like the red "File Answer" button on the Details tab of my case) don't seem to work when I click on them. What am I doing wrong?
  29. I have some suggestions for possible changes to the DR Portal I’d like to pass along. Is there a way to do that?
1. How can I file my arbitration claim online?
Your online arbitration claim may be filed using the DR Portal. Log into the DR Party Portal and click the "File a New Arbitration Claim" link on the left side of the page, under where it says "I want to…". For your convenience, FINRA offers a detailed DR Portal User Guide for Case Participants to walk you through the online filing process (see Appendix B).
2. Is the Online Arbitration Claim Filing System the same thing as the DR Portal?
The Online Arbitration Claim Filing System was retired in August 2016, and a new online claim filing form was created as part of the DR Portal to replace it. More information regarding the DR Portal can be found here.
3. If I submit an Arbitration Online Claim Information Form, does that mean that my arbitration claim has been filed with FINRA Dispute Resolution?
Yes. However, you must submit all of the documents required by Code of Arbitration Procedure Rule 12302 for Customer Disputes and Rule 13302 for Industry Disputes, as well as filing fees specified by Rule 12900 for Customer Disputes and Rule 13900 for Industry Disputes in order for your claim to be processed. You can submit everything necessary for your claim online, including:
  • The Statement of Claim
  • Exhibits to the Statement of Claim
  • The signed Submission Agreement
  • Payment for the filing fees, or a request for a hardship waiver of the filing fees (with required documentation)
4. What is the Arbitration Online Claim Information Form?
The Online Claim Information Form allows claimants to provide the FINRA Office of Dispute Resolution with an electronic summary of information concerning their claims.
5. How do I create an online account so that I can file the Arbitration Online Claim Information Form?
Go to the DR Portal login page and click on "Register New User". See Appendix A of the DR Portal User Guide for Case Participants.
6. What is the CRD® Lookup Tool that is part of the Arbitration Online Claim Information Form?
FINRA maintains the qualification, employment, and disclosure histories of the more than half a million registered securities employees of member firms through the Central Registration Depository (CRD) system. The CRD lookup tool will assist you with finding the correct entity or person. You MUST use the CRD lookup tool when adding Member Firms or Associated Persons to the online form.
7. When will I hear back from FINRA Dispute Resolution about my arbitration claim?
Upon receipt of all required materials, FINRA will send you an invitation to register your case for the DR Portal and notify you of the case number and the staff member assigned to your case. You may direct any questions to that person. If you do not hear from us within 15 business days from the date you submitted all required materials, please contact FINRA via email. Please include the Tracking Number for your claim in the subject line of the email. You can also contact the FINRA Office of Dispute Resolution at (212) 858-4200.
8. Am I automatically registered on the DR Portal when I file my claim?
No. FINRA will send you an invitation email containing a one-time-use registration link. Whoever uses this registration link (typically the party representative) will become registered for the associated case on the DR Portal. This process must be performed for each new case filed with FINRA. See the DR Portal User Guide for Case Participants for more information about registering for a case.
9. Am I required to use the Arbitration Online Claim Information Form?
No. Filing for arbitration online is currently voluntary. If you wish to file via mail, the Arbitration Claim Filing Guide provides detailed instructions about how to file and contains all the necessary forms.
10. Whom can I contact if I am having technical trouble or if I have a question about the Arbitration Online Claim Information Form itself?
If you are locked out of your account and need your password reset, you can contact the FINRA Gateway Call Center at 301-590-6500. For questions regarding the form itself or for technical issues when accessing the form, you should call the DR Portal Help Desk at (800) 700-7065 or send an email.
11. What do I do if I cannot locate a given Member Firm or an Associated Person using the Lookup Tool that is part of the Arbitration Online Claim Information Form?
Choose "Other" as the party type, and enter the requested information without providing the BD number or CRD number. Do NOT use "Other" just to avoid looking up Member Firms or Associated Persons in CRD.
12. How are arbitration claim filing fees paid online?
The system allows you to pay the filing fee using a credit card or by ACH bank transfer. The Automated Clearing House system is the primary electronic funds transfer network that is used to make online payments. See http://www.fms.treas.gov/ach/index.html for more information. Most personal checking accounts with online banking access are ACH-enabled, but if you are not sure, you should contact your bank and confirm that your account is ACH-enabled. On the payment page select the "Bank Account" payment option and then enter the Bank Routing Number (also known as an ABA Number or Routing Transit Number), Checking Account Number, and the account owner's full name. The filing fees will be debited directly from your checking account when you submit your claim online. Note that if you do not submit your claim online you cannot pay the filing fee online, and if you file your claim online you must pay the filing fee online.
13. In the Online Arbitration Claim Filing system, what happens if the ACH bank transfer payment transaction fails for some reason?
If you get an error message when you submit your payment online using the "Bank Account" payment option, verify the routing number and account number of your checking account and try again. Most problems (such as insufficient funds in the account) will not be detected immediately. Your payment will appear to be successful, but you will receive an email several days later if a problem occurred with the bank where the account is located. Follow the instructions in the email.
14. How can I file an electronic attachment to an online Arbitration claim that was previously submitted electronically?
Once you have submitted your claim form and attachments, you will receive an invitation email to register your case for the DR Portal. Once you have registered, you can submit amendments and other documents through the portal by using the "Submit Documents" form for the associated case. See the DR Portal User Guide for Case Participants for more information. You can also contact FINRA Dispute Resolution at (212) 858-4200 or via email. Please include the Tracking Number for your claim in the subject line of the email.
15. Can I begin working on the Online Arbitration Claim Filing Form and save it until I have gathered all of the necessary information without losing the information I've entered so far?
Yes. The system allows you to save one or more partially completed claims and return to them later. Note that if you do not return to a partially saved form for 60 days, the form will be deleted from the system.
16. What is the difference between accessing a case using a Claim Access Code and using the personalized link in the Invitation email to register for the case? What is a “Limited View”?
FINRA sends the Claim Notification Letter (containing the Claim Access Code) to the named respondents on a claim, rather than serving the actual claim documents. Using the “Receive a Case” option in the DR Portal, the Claim Access Code provides a “limited view” in the portal of the associated arbitration case, only providing access to two tabs of case information (“Documents” and “Drafts & Submissions”). This limited view allows a respondent to retrieve only the associated initial claim documents (the “Claim Service Packet” found in the “Documents” tab of the case), and file an answer/Notice of Appearance (using the red “File Answer” button). The Claim Access Code can be used multiple times by different users. For example, a respondent might receive the Claim Notification Letter, use the Claim Access Code to retrieve the claim, and then decide to hire counsel to handle the claim on their behalf. They can give the letter to their counsel who can use their own DR Portal account, access the claim using the same Claim Access Code, and then file an answer on behalf of their client.
Once respondent's counsel has been established with FINRA for the case (as provided in the submitted answer or in a Notice of Appearance), FINRA will send an email “invitation” to that counsel so that they can "register" for the case. The personalized link in this invitation email will only work one time, but it registers the user as the “Portal Contact”, providing FULL access to the case and permitting them to use all of the functionality of the DR Portal described in the User Guide. The representative receiving the invitation email can instead give it to a delegate to handle Portal work for this case on their behalf (e.g., become the “Portal Contact”), but it will only work one time.
Note that if a party notifies FINRA of a change of counsel, the prior counsel (or their delegate) will lose all access to the case, and the new counsel will be invited and will need to register for the case.
Also note that claimants do not receive Claim Notification Letters and should not use a Claim Access Code to access their case. Claimant's representative will receive an email invitation from FINRA so that they can "register" for the case.
17. What do I do if I enter my Claim Access Code wrong three times and lock myself out of the case?
Contact the Dispute Resolution staff member assigned to your case or send an email.
18. I'm pretty sure that I am typing my Claim Access Code correctly, but it says that the information is not correct. What am I doing wrong?
All of the letters in the Claim Access Code are capitalized. Capital "I" characters can look like lower-case "L" characters or the number "1". Only use capital letters when entering the code.
19. Do I have to enter the URL in the Claim Notification Letter to retrieve a new case with the Claim Access Code?
No, once you create your account, you can log straight into the DR Portal using https://drportal.finra.org and then choose "Receive a Case" from the left-hand menu option and enter your Claim Access Code there. Remember that you do NOT want to create a new User ID for each case that you want to receive.
Note that the "Receive a Case" option is only for respondents to access a claim that has been served on them through the portal. Claimants should not use this option to access their case. Claimant’s representative will receive an email invitation so that they can “register” for the case.
20. What is the difference between the Documents and the Drafts & Submissions tabs?
Drafts & Submissions shows the "forms" you have personally submitted to FINRA. There are currently two types of forms in the system; the Answer form and the Attachment form. Each of these forms permits you to attach certain types of documents. The Answer form is used to submit your answer documents to FINRA; the Attachment form is for subsequent submissions. Drafts & Submissions only shows the forms that you personally submitted. It would not, for example, show the Portal Contact something that one of their secondary contacts submitted. Parties invited to the portal with Full Read access also cannot see these submissions. That is why the system publishes everything that is submitted back out to the Documents tab in the case.
21. On the Drafts & Submissions page, it seems that every time I click on "File Answer" or "Submit Documents" it saves a new draft. What are the criteria for how often it saves a Draft? I thought it would only save as a draft if I clicked "Save" while within the form.
Every time you click on either the File Answer or Submit Documents button, a new form instance (i.e. a draft) is created. One thing about Drafts and Submissions is that it only shows the forms YOU PERSONALLY submitted. It would not, for example, show the Portal Contact something that one of their Secondary Contacts submitted. Parties invited to the portal with Full Read access also cannot see these submissions. That is why everything is automatically re-published back out to the Documents tab in the case.
22. Can opposing counsel see my submitted rankings in the Portal?
No. The Portal Contact is in control of the case filings and providing access to case documents. The only people who can see your submitted rankings or documents are the Portal Contact and anyone she invited that is given "Full Read" or "Full" access.
23. Do I have to use the same email address when I create an account on the DR Portal as I provided when I filed a claim or answer for a case I am representing?
All automated emails coming from the DR Portal will go to the email address on your DR Portal account. DR staff, however, might use the email address you provided with your initial submission. If you do not want this to happen, you should use the same email address for your account and all submissions.
24. What is the difference between a Portal Contact, a Secondary Contact, and a Party with regard to the Users tab?
FINRA sends an "invitation" email to the claimant's representative after they file the claim, and to the respondent's representative after they file an answer or notice of appearance. This invitation can only be used once. Whoever uses it (either the representative themselves or a delegate that they choose) becomes the "Portal Contact" with respect to this particular case on the DR Portal.
The Portal Contact has the ability (using the Users tab) to invite other users into the Portal for a particular case to assist them with their portal work. These invited users become "Secondary Contacts." They have a level of access as set by the Portal Contact on the Users tab. Secondary Contacts do not have access to the Users tab, so they cannot invite more Secondary Contacts.
In addition, Portal Contacts may invite the parties themselves into the DR Portal. In this case, FINRA must know in advance the email address of the party; the Portal Contact cannot enter it. Parties can have read-only access to the portal; they cannot enter any information or submit any documents.
IMPORTANT NOTE: The representative accepts all responsibility for the individuals they invite to maintain the confidentiality of case information, and for removing access when the invitee no longer requires access to the case. This can be done by setting their Access Level to “None” in the Users tab in the case and clicking on the "Update" link.
25.What are the identifying codes that appear at the bottom of the emails I receive from FINRA when activity occurs on my cases?
Portal Contacts and Secondary Contacts receive an automated email whenever activity occurs on one of your cases. Each type of automated email has a small, identifying code word at the bottom. You can create "rules" in your email system to look for these code words on incoming email to automatically route the automated emails as you desire. Be sure that FINRA emails are not being stopped by any email spam blockers you may have. Here is the list of codes:
  • PCINVSC - Sent to the Secondary Contact when they are invited to a case on the DR Portal by the Primary Contact.
  • PCRINSC - Sent to the Secondary Contact when they are re-invited to a case on the DR Portal by the Primary Contact.
  • STINVPC - Invitation sent by FINRA staff to the party representative for the case on the DR Portal. Whoever uses this invitation becomes the Portal Contact for the case.
  • OLFINPC – Automated invitation sent by the DR Portal to the claimant representatives after a submitted online claim is processed. Whoever uses this invitation becomes the Portal Contact for the case.
  • PUBADOC - Sent when a new document has been published on the Portal for one of your arbitration cases. The documents will be found in the Documents tab of the respective case.
  • PUBMDOC - Sent when a new document has been published on the Portal for one of your mediation cases. The documents will be found in the Documents tab of the respective case.
  • DSPAPOL - Sent when an arbitration hearing poll is displayed on the Portal, requesting schedule availability. The poll can be found in the Scheduling tab of the respective case.
  • DSPMPOL - Sent when a mediation session poll is displayed on the Portal, requesting schedule availability. The poll can be found in the Scheduling tab of the respective case.
  • SERVANS - Sent when you submit an Answer form through the DR Portal and check the box that reads "Send Attachments to ALL Parties in this Case". It will indicate the parties that will receive the documents in your submission.
  • SERVATT - Sent when you submit a "Submit Documents" form through the DR Portal and check the box that reads "Send Attachments to ALL Parties in this Case". It will indicate the parties that will receive the documents in your submission.
26. It looks like I cannot be logged into the FINRA Firm Gateway and the DR Portal at the same time. Is there a way around this?
Yes. If you use two different browser programs (one for the Firm Gateway and a different one for the DR Portal), you should be able to stay logged into both systems simultaneously. For example, use Internet Explorer for the Firm Gateway and Firefox for the DR Portal.
27. I invited a collegue using the "Invite New User"feature on the Users tab to assist me with my case, but now that person has left our firm. Can this person still access the case? How can I take away their access?
Yes, this person can still access this case using any computer since they still have their account and password. To remove access for a previously invited user, just change their access level to "None" on the Users tab and click on the "Update" link. The invited user will no longer see this case when they log into the Portal. If this person was invited to a large number of cases and you need to remove them immediately, you may contact the Dispute Resolution staff member assigned to your case or send an email.
IMPORTANT NOTE: The representative accepts all responsibility for the individuals they invite to maintain the confidentiality of case information, and for removing access when the invitee no longer requires access to the case.
28. Some buttons (like the red "File Answer" button on the Details tab of my case) don't seem to work when I click on them. What am I doing wrong?
File Answer and Submit Document requires a "pop-up" window (or open a new tab in your browser) to be displayed. If you have the "pop-up blocker" feature enabled in your browser, you need to turn it off for the DR Portal website for these pages to work. Each browser has its own method of disabling the pop-up blocker, but it is typically found under the "Settings" or "Privacy" menu on your browser header menu. Most browsers let you enter a specific website for which you allow pop-ups. The Safari browser only allows you to either allow or disallow pop-ups for all websites, so you will have to allow them for all sites if you use Safari. If your browser allows you to specify a particular website to allow pop-ups, enter "https://drportal.finra.org" (without the quotes) as the website address.
29. I have some suggestions for possible changes to the DR Portal I'd like to pass along. Is there a way to do that?
Yes. Please send an email with your thoughts and feedback.