Refund Requests for Charges Assessed In Error

If your firm feels that FINRA has assessed a fee in error, your firm should open a case through one of the following channels:

  1. call the FINRA Support Center at (301) 869-6699, 
  2. email [email protected], or 
  3. fax a signed letter to the Registration Management Unit at (301) 216-3716.

For all options, the firm should provide FINRA the following information:

  • a printout of the firm's Flex-Funding Account for verification purposes,
  • the date and amount of the disputed charge,
  • the firm CRD number, and
  • the individual or branch CRD number for which the charge was assessed, if any.