Refund Requests for Charges Assessed In Error
If your firm feels that FINRA has assessed a fee in error, your firm should:
- Call the FINRA Gateway Call Center at (301) 869-6699 to open up a case, or
- Fax a signed 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.