File a Claim

The arbitration process begins with a party filing a Statement of Claim with FINRA. The party who files the Statement of Claim is called a claimant. The party against whom the Statement of Claim is filed is called the respondent. The Statement of Claim should provide the details of the dispute, including relevant dates, names of entities and individuals involved, and the type of relief requested and the respondents from whom the claimant is seeking relief or damages. The type of relief a claimant may request, includes, but is not limited to, actual monetary damages, interest, and specific performance.

 

In addition to the Statement of Claim, a claimant must also file a Submission Agreement and pay the appropriate filing fees, either by check or online.

 

Once the filing requirements are met, FINRA will serve the Statement of Claim on the respondents identified in the Statement of Claim and Submission Agreement. If the filing requirements have not been met, FINRA will notify the claimant of the deficiency, so that the claimant may correct the problem. Once the claimant corrects the deficiency, FINRA will serve the Statement of Claim on the respondents identified in the Statement of Claim and Submission Agreement.

 

  • To file a claim online, go to the Arbitration Online Claim Filing system

    Or
     
  • To file a claim by mail, please review the Uniform Forms Guide. The guide contains detailed information about how to file a claim and contains a Submission Agreement form. Once the Statement of Claim and other supporting documents have been created, please assemble these documents and submit them submit them, along with the appropriate filing fees, to FINRA.  

 

 

Customer Code Rules 12302, 12307
Industry Code Rules 13302, 13307