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Resolution and Results for Customers

In FINRA arbitration, the majority of customer cases – approximately 69% – result in settlements reached by the parties. Typically, appoximately 18% of all cases proceed to award. For more information on how cases close, view the dispute resolution statistics.

  • Settlement – The vast majority of settlements result in monetary relief for the customer claimant.
    • Mediation – A number of cases are settled through an informal, voluntary process in which a mediator facilitates negotiations between disputing parties.
  • Award – Customer arbitration cases decided by award represent a small subset of all cases filed. All awards are publically available through FINRA’s Arbitration Awards database.
  • Withdrawn – In some cases, claims are withdrawn by the claimant, either with or without prejudice.
  • Closed by Other Means – Other reasons a case may close include a stipulated award, bankruptcy of a critical party, an uncured deficient claim, denial of the forum, or a stay by court action.