Arbitration & Mediation

What's New

5.14.08 Statistics Dispute Resolution Statistics Have Been Updated for the Month of April

5.09.08 Regulatory Notice SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008

4.30.08 The Neutral Corner The latest edition of The Neutral Corner is now available on our site.

04.16.08 Changes to FINRA's Hearing Scripts - Effective April 28, 2008 Before closing the hearing, arbitrators will ask parties 1) for a summary of their final requests for damages and 2) whether they want to raise any other issues or objections.

Archive of Recent Announcements

FINRA Dispute Resolution

Although most business in the securities industry is completed without problems, disputes and controversies occasionally arise. FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms, and individual registered representatives.

Frequently Used Forms

Questions and Feedback

Investor Complaint Center File an investor complaint with FINRA

Update Your Arbitrator Profile

Página de Web en Español/ Spanish Language Web Page

View Dispute Resolution Statistics

Arbitration Evaluation Form

Out-of-State Representation