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Dispute Resolution

FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. FINRA’s Dispute Resolution forum handles nearly all of the securities-related arbitrations and mediations in the United States.

You may file a request to arbitrate or mediate with FINRA if you have a dispute involving money or the business activities of a brokerage firm or one of its brokers.

  1. Arbitration
    Arbitration is similar to going to court, but is usually faster, cheaper and less complex. It’s a formal alternative to litigation in which two or more parties select a neutral third-party called an arbitrator to resolve a dispute. The arbitrator’s decision, called an award, is final and binding. Learn how FINRA’s arbitration process works and what to expect.
  2. Mediation
    Mediation offers an alternative to arbitration. A trained, impartial mediator facilitates negotiations between disputing parties, helping them find a mutually acceptable resolution. See how FINRA helps ensure a flexible, unbiased process.
  3. Questions to Ask
    Ask these questions before entering into the arbitration or mediation process.