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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