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Written by 10:46 am Blog, Securities Fraud

FINRA Arbitration Attorney for Resolving Securities Disputes

FINRA Arbitration Attorney for Resolving Securities Disputes, featured by top securities fraud attorneys, the White Law Group

Securities Fraud Attorneys | FINRA Arbitration & Mediation | FINRA Dispute Resolution

In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry.  In fact, FINRA Dispute Resolution is the forum for virtually all disputes between and among investors, brokerage firms and individual brokers.  

You may not know it, but the vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA.  

FINRA Arbitration is very different than court litigation, with its own specific rules of procedure and operation.  To see learn more, see the FINRA Code of Arbitration Procedure.  

Resolving Securities Disputes – FINRA Arbitration & Mediation  

The resolution of problems and disputes is accomplished through two non-judicial proceedings: arbitration and mediation.  

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one of its brokers. To be considered, the alleged act resulting in a claim must have taken place within the past six years.  

You may be confused about the differences between resolving monetary disputes through arbitration or mediation and filing an investor complaint. These are unrelated. Dispute Resolution is not the same as filing an investor complaint 

If you are looking to recover damages, filing an arbitration or mediation case through FINRA offers you a way to seek damages. Investors are not limited to one or the other option, you can file an investor complaint and file for arbitration.  

FINRA Arbitration – Simple Alternative to Litigation  

Arbitration is like going to court, but is usually faster, cheaper and less complex than litigation. It is a formal alternative to litigation in which two or more parties select a neutral arbitrator to resolve a dispute.  

The arbitrator’s decision in the dispute is called an award. The decision is final and binding. In resolving disputes through arbitration, a FINRA arbitrator or panel will listen to the arguments set forth by the parties, study the testimonial and/or documentary evidence, and then give a decision. When an arbitration case goes to a hearing, it can take up to 16 months for an award to be determined.  

The arbitration process works differently depending on the size of the claim. Claims involving more than $100,000 require an in-person hearing decided by a panel of three arbitrators, with one chairing the hearing.  

Smaller claims are decided by one arbitrator.  If a claim is less than $50,000 it may be decided through a Simplified Arbitration Process. The arbitrator reviews all the materials presented by the parties without an in-person hearing.  

What is FINRA Mediation? A Flexible Alternative to Arbitration  

FINRA mediators have expertise in certain subject matters, so parties can select a mediator who is knowledgeable in the particular securities or business area that is in dispute. 

Mediation can be initiated at any time before arbitration commences and even during an arbitration case before it concludes. It offers a flexible alternative to arbitration. Mediation is an informal process in which a trained, impartial mediator facilitates negotiations between disputing parties, helping them find a mutually acceptable solution. Both parties in a dispute must agree to mediation. FINRA does not require parties to mediate.  

Since mediation is a voluntary process, it can be halted by either party at any time. Most of the mediations result in settlement, close to 80 percent, and the process is usually much faster than arbitration. Mediation is not binding until the parties reach and sign a settlement agreement, and it doesn’t impose a solution.  

National FINRA Arbitration Attorneys  

The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.   

If you believe that you have a viable FINRA arbitration claim and would like to speak with a national FINRA arbitration attorney regarding your recovery options, please call the White Law Group at 888-637-5510 for a free consultation.   

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States.  

The White Law Group’s FINRA arbitration attorneys have handled over 700 FINRA arbitration claims involving unauthorized trading, unsuitable investments, fraud, negligence, churning/excessive trading, and improper use of margin.  To learn more about a recent claim filed by the firm, please see:

The White Law Group Files a Lawsuit against Lion Street Financial and Triad Advisors 

For a free consultation with a FINRA arbitration attorney, please call the White Law Group at (888) 637-5510. To learn more about the firm, please visit  



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