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
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
and other participants in the
FINRA forum by taking advantage
of this valuable learning tool.
As of June 1, 2024ChairpersonDarlene Pasieczny*Samuels Yoelin Kantor LLPPortland, OR(Public)PublicOmar BengaliGirard Bengali APCLos Angeles, CAHugh D. BerksonMcCarthy, Lebit, Crystal & Liffman Co., LPACleveland, OHScott Eichhorn*University of Miami School of LawCoral Gables, FLJorge RieraRiera Law FirmCoral Gables, FLPatricia Vannoy*Mattson Ricketts Law FirmLincoln, NECourtney
On May 14, 2018, amendments to FINRA Rule 2232 will take effect, which require a member firm to disclose on the customer confirmation the amount of mark-up or mark-down it applies for certain trades with retail customers in corporate or agency debt securities. Disclosed mark-ups must be calculated consistent with existing Rule 2121. With regard to the client confirmation requirements and
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical
