How to Initiate an Arbitration or Mediation at FINRA

Stockbroker Law - Wednesday, November 04, 2015
How to Initiate an Arbitration or Mediation at FINRA

The Financial Industry Regulatory Authority (FINRA) maintains offices at Dispute Resolution designed to resolve investment related disputes through arbitration or mediation. The initiation of an arbitration claim requires the filing of a Statement of Claim and Uniform Submission Agreement (with the appropriate filing fee, at FINRA’s offices).

Mediation provides a different approach to dispute resolution than arbitration, but can also proceed from a pending arbitration case. To mediate a case at FINRA one or both parties may file a request for mediation upon which FINRA will contact the other side to determine their interests in participating in the mediation process. Notably, mediation requires the mutual willingness and consent of both sides to a dispute.

We offer free initial consultation to investors considering the filing of an arbitration or mediation proceeding. For an appointment contact The Law Offices of Timothy J. O’Connor at (518) 426-7700.

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