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FINRA Customer Arbitration Guide

May 28, 2025 (2 min read)

From time to time, it is necessary for customers to arbitrate with broker-dealers, and their associated persons, pursuant to the Financial Industry Regulatory Authority Code of Arbitration Procedure for Customer Disputes. Read this practice note for the steps required to commence an arbitration, including determining whether the claim is arbitrable, building a case, selecting the arbitral panel, and using the FINRA Dispute Resolution Party Portal.

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