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Why Mediate Through FINRA

With the help of an experienced, skilled roster of mediators, parties have initiated over 17,500 cases in FINRA's mediation forum, since its inception in 1995.

FINRA is dedicated to providing parties a mediation process that offers flexibility, a level playing field, and time and cost savings. Parties control when and where a mediation will occur, who will serve as the mediator, and whether they will accept a settlement offer.

FINRA's staff of mediation administrators can:

  • assist parties in the selection of a mediator;
  • find a location to mediate;
  • work with the arbitration staff to postpone an arbitration hearing, if necessary; and
  • assist in enforcing a settlement agreement with brokers and their firms.

FINRA mediators go through a rigorous application process to determine whether they have the relevant  skills and subject matter knowledge to mediate securities disputes. FINRA staff provides administrative support throughout the process and monitors the quality of the mediation experience, including requesting parties' feedback at the conclusion of each case.