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FINRA Dispute Resolution Services

Arbitration & Mediation

Coronavirus Impact on Arbitration & Mediation Hearings

FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is accomplished through two non-judicial proceedings: arbitration and mediation.

Arbitration and mediation are two distinct ways of resolving securities and business disputes between and among investors, brokerage firms and individual brokers, and offer a prompt and inexpensive means of resolving issues.

Overview of Arbitration & Mediation

Learn more about the differences between Arbitration and Mediation – and what to expect.

Initiate an Arbitration or Mediation

Learn how FINRA can help you resolve a conflict with a financial services professional.

Learn About Arbitration

Learn about the formal process of arbitration, including how to file a claim, answer a claim, and select an arbitrator.

Learn About Mediation

Learn how this informal and flexible dispute resolution process works, from mediation sessions to settlement or impasse.

Information for Arbitrators

This section contains the Arbitrator’s Guide, procedures for arbitrators, and required training.

Information for Mediators

Learn about standards of conduct for mediators, as well as how to become a mediator.

How to Find an Attorney

You should consider hiring an attorney to represent you during the arbitration or mediation proceedings to provide direction and advice.

Resources for Investors Representing Themselves

Learn about the resources available, if you have decided to represent yourself.

Become an Arbitrator

Enhance your career. Focus on fairness. Preserve trust in our markets. Protect investors.

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