SECURITIES DISPUTES ∙ RECOVERY OF INVESTMENT LOSSES ∙ SECURITIES ARBITRATION ∙ SECURITIES MEDIATION ∙ FINRA DISPUTE RESOLUTION

Securities Arbitration
Although most business in the securities industry is completed without a problem, disputes and controversies will occasionally arise. Such disputes and controversies can be resolved by impartial arbitration at one of the organizations listed in the Services Directory. Arbitrations are conducted in accordance with the Uniform Code of Arbitration (Uniform Code) as developed by the Securities Industry Conference on Arbitration and the rules of the sponsoring organization where the claim is filed.
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FINRA Dispute Resolution
In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD). Though sometimes mistaken for a government agency, it is a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets.
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Mediation
Mediation is an informal, voluntary, and non-binding approach in which an independent and trained neutral—a mediator—facilitates negotiations between disputing parties, helping them to find their own mutually acceptable resolution. The resulting settlements often save the parties substantial time and expense. Also, mediations can be initiated at any stage of the arbitration process.
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