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New York Office Guide

FINRA Dispute Resolution
One Liberty Plaza
165 Broadway
27th Floor
New York, NY 10006
(212) 858-4200

FINRA Dispute Resolution Office Information

Conference and Hearing Rooms
The New York Office has 8 conference rooms and 2 mediation rooms available with the following capacity:

Hearing Rooms Maximum Capacity
I 15-20
II 15-20
III 15-20
IV 15-20
V 15-20
VI 20-40
A 10-15
B  8-10
Mediation Rooms Maximum Capacity
A  6-8
B 8-10


Please check in advance for availability if you will need special equipment like: videoconferencing, speakerphone, telephone extension, dry ink board, easel, TV, VCR, or overhead projector.

Delivery and Pickup:  Anyone with pick-ups or deliveries of exhibits should notify FINRA with the information concerning what is being picked up or delivered.

Duplication of Audio Files: If the hearing was recorded using a digital recorder, parties may request an audio recording of the hearings on CD at no charge. For hearings that were recorded on tape, FINRA Dispute Resolution uses the services of an outside vendor to duplicate the audio recordings. Certain fees may apply. Requests for audio recordings should be made in writing and directed to your Case Administrator.

Emergency Procedures:  In the event of an emergency, please contact a staff member immediately. The staff is familiar with emergency procedures and is ready to assist you. If an emergency occurs after hours and there is no staff available, please contact building security at (212) 417-7352 or (212) 858-4006.

To reach a 911 emergency operator, please use any phone and dial 911. Please note there is no prefix number used to reach an outside line; just dial 911.

Facsimile Machines:  There is a facsimile machine dedicated to parties’ and arbitrators’ use located in the reception area. The facsimile number is (646) 625-6027.

File Retrieval:  FINRA Dispute Resolution staff will retrieve an archived closed file for parties only. The cost for retrieval of a file is $25.00 and the cost to return the file to archives is $25.00. These charges will be passed on to the party requesting the file.

Off-Site Copying Service:  

Big Apple Copy & Printing Ctr.
115 Broadway #Lvl
New York, NY
(212) 962-4282
View Map (0.1 miles from office)

FedEx Office
110 William St. # 0883
New York, NY
(212) 766-4646
View Map (0.3 miles from office)

Quality Imaging Services
225 Broadway
New York, NY 10007
(212) 566-5540
View Map (0.2 miles from office)

Office Hours:  The New York Dispute Resolution Office hours are 8:00 a.m. to 6:00 p.m., Monday through Friday. Conference room hours of operation are 9 a.m. to 5 p.m. After 6 p.m., access to the floor will be restricted to those individuals who have security cards. If you will need access to the suite after 6 p.m., please contact any of our staff members in advance to arrange for after-hours access.

Photocopies:  There is a photocopy machine dedicated to parties’ and arbitrators’ use located in the reception area. Please limit usage to up to 15 pages. In the event there is a large photocopy requirement, please use an off-site service.

Restroom Facilities:  Located just off of the elevator lobby. The restrooms are locked. You will need to obtain the combination from staff. The restrooms are shared with another building tenant. As a courtesy to others, please remember to keep the common restrooms neat.

Storage of Materials:  Parties and arbitrators must make arrangements with the FINRA Dispute Resolution staff person to leave any materials overnight in the conference room. FINRA Dispute Resolution assumes no responsibility for loss and/or theft of exhibits stored overnight. If parties wish to ship documents to FINRA Dispute Resolution in advance of a hearing, they may do so. FINRA Dispute Resolution staff will place the documents in the hearing room. FINRA Dispute Resolution staff will not be responsible for arranging shipment or transfer of documents to another location; however, parties may arrange to have documents picked up and shipped from the FINRA Dispute Resolution office.

Telephone Usage:  Telephones in the reception hallway are available for local phone calls. To access an outside line, dial "9" and the phone number. Long distance calls must be placed with either an operator or with a telephone calling card. Again, please dial "9" to access an outside line.

Wireless Internet Access: The Northeast Regional Office offers wireless Internet access to visitors. There is no cost to connect to the FINRA Guest Wireless Local Area Network. To use this service, visitors will need a laptop or mobile device that has Wireless Local Area Network capabilities. Also, a Web browser must be installed on the device. Visitors will be required to accept the FINRA Guest Wireless Local Area Network Terms and Conditions. Please be aware that the FINRA service provides unencrypted access to the public Internet. Accordingly, you may wish to use your company’s VPN or encryption software for sensitive traffic and/or remote connectivity to your enterprise network.

To obtain access to the FINRA Guest Wireless Local Area Network, please speak with the regional office’s receptionist, who will process your request for access and provide you with the necessary credentials to connect to the network, including a user ID and password.

Witness Waiting Area:  A witness waiting area is provided.

Food (within walking distance of the Northeast Regional Office):

  • Essex World Café
  • McDonald's
  • Panini & Co.
  • Pret A Manger
  • Sabor de Mexico
  • Suspenders 

Hotels/Additional Food and Dining Options/Parking

The following links provide lists of hotels, food and dining, and parking facilities close to our offices.