Arbitration & Mediation Sitemap

FINRA Dispute Resolution

 

Overview of Arbitration & Mediation
Comparison of Arbitration & Mediation
What Cases are Eligible
What to Expect

 

Options for Investors
Talk to Your Brokerage Firm
Initiate an Arbitration
Initiate a Mediation
Other Options
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Additional Resources
Arbitration Awards Online
BrokerCheck
Dispute Resolution Statistics
Frequently Asked Questions
Dispute Resolution Glossary

 

More on FINRA
Dispute Resolution

Executives
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Other Exchanges Using FINRA's Forum
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Arbitration

 

Arbitration Overview

 

Arbitration Process
File a Claim
Answer a Claim
Arbitrator Selection
Prehearing Conferences
Discovery
Hearings
Decision & Awards

 

Rules
Announcements
Code of Arbitration Procedure
Rule Filings
Regulatory Notices
Notices to Arbitrators & Parties

 

Fees
Estimate Cost
Fee Waivers
Refunds

 

Special Procedures
Auction Rate Securities (ARS)
Expedited Proceedings for Seniors & Seriously Ill
Expungement
Short List Option to Reduce Extended List Appointments
Simplified Arbitrations

Arbitrators

 

Become an Arbitrator
FINRA Arbitrators
Training, Serving on a Case and Honorarium
Benefits of Becoming an Arbitrator
FINRA Hearing Locations
Apply Now

 

Responsibilities
Code of Ethics for Commercial Arbitrators
Arbitrator Disclosure
Oath of Arbitrator
Arbitrator Disqualification Criteria
Top 10 Ways to Be a Better Arbitrator

 

Case Guidance & Resources
Rule Guidance
Discovery Guide
Hearing Scripts & Forms
Arbitrator's Guides
Evaluations
Disciplinary Referrals
The Neutral Corner
Neutral Workshop Audio Files

 

Administrative Resources
Honorarium
Expense Reimbursement
Tax Information
Update Profile & Disclosures
Contact FINRA

 

Arbitrator Training
Required Basic Arbitrator Training
Advanced Training
Written Materials

Mediation

 

Mediation Overview
Why Mediate Through FINRA

 

Mediation Process
Initiate a Mediation
Mediator Selection
Mediation Sessions
Settlement
Impasse

 

Mediation Rules
Code of Mediation Procedure

 

Mediation Fees
Estimate Cost
Fees and Refunds

Mediators

 

Become a Mediator Benefits of Becoming a Mediator
Role of the Mediator
Qualifications
Application & Status

 

Case Resources
Code of Mediation Procedure
The Neutral Corner
Dispute Resolution Workshop Audio Files

 

Administrative Resources
Update Profile & Disclosures

 

Responsibilities
Model Standards of Conduct
Loyalty Affirmation


Forms & Tools

 

Locations & Contacts

 

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