FINRA Customer Arbitration Guide

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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Related Content

• FINRA Industry Arbitration Guide
  Understand every part of arbitration between and among brokerage firms and associated persons.

• Motions to Dismiss in FINRA Arbitrations
  Look at the types, grounds, procedural posture, and effects of motions to dismiss in this context.

• FINRA Dispute Resolution: Arbitrator Selection Recommendations
  Select the best type of arbitrator or arbitration panel for your client.

• FINRA Mediation Guide
  Look into this voluntary alternative option available to resolve disputes.

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