Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
FINRA's highly-qualified national roster of mediators helps investors, brokerage firms and brokers effectively resolve their securities disputes.
We seek mediators with significant and relevant mediation experience and subject matter knowledge. We strive for our roster to be reflective of the communities that we serve, and we are committed to increasing its diversity.
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Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
Ryan Broussard is no stranger to the Createathon Winners’ Circle. Since participating in his first event in 2020, his team GLAM 2.0 won third place overall and the People’s Choice Awards in 2020, team AQUA took first place in 2021, and 2022 his team IPIC won first place overall and the People’s Choice Awards. That’s quite a winning resume, However, for Ryan, it’s not all about winning. It’s also about innovation, collaboration, networking, and developing creative solutions that benefit FINRA and ultimately firms and the industry.
En EspanolHow long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file
FINRA Dispute Resolution Services is providing this Resource Guide to help arbitrators conduct effective virtual arbitration hearings via the Zoom platform.
After conferring with the parties, FINRA will send a list of proposed mediators from its roster of experienced mediators. The mediators on the list may have subject-matter expertise or other experience, consistent with the parties' needs in the case.
The Discovery Guide is a helpful reference to help you manage expectations regarding documents the other Party might request. FINRA provides the Discovery Guide for customer cases only. This Guide outlines the documents that Parties should exchange without Arbitrator or staff intervention.The Discovery Guide contains two Document Production Lists of presumptively discoverable documents:one for
FINRA's Arbitration Awards Online database (“AAO”) demonstrates our commitment to transparency by enabling users to perform web-based searches for FINRA arbitration awards free of charge, seven days a week.
Documents Available in the Arbitration Awards Online Database
In addition to FINRA awards, you can search for historical awards for the:
National Association of Securities Dealers (
FINRA offers parties in active arbitration cases free or low-cost telephone mediation with initial claim amounts of $50,000 or less.
