Resource Library
FINRA Arbitration Report Card 2007
The report supports FINRA’s claim that the arbitration system is fair and superior to actions in court. The “fair system” has been modified since the publication of this report.
Part One
Part Two
Part Three
Arbitration Hearing Simulation-FINRA’12
A mock expungement hearing has been transcribed followed by summaries of several real cases in which the arbitration panels had similar situations, but came up with different results.
Enforcement Case Trends-FINRA’12
FINRA Enforcement priorities are listed as well as recent trends in disciplinary actions.
FINRA Dispute Resolution Brochure
A basic guide to the dispute resolution process.
Avoiding Arbitration
How to prevent a FINRA claim and handle the unthinkable if it happens
New Hampshire Business Review - How to prepare for and survive and FINRA visit
What to Expect - FINRA's Dispute Resolution Process
What Arbitrators Want to See and Hear
FINRA's The Neutral Corner - Volume 1 - 2012
How to Prevent and Resolve Disputes with Your Broker
The Guide covers investors' rights and responsibilities and tips on how to research brokerage firms and brokers. The guide also goes through the arbitration process, what to expect at a hearing and mediation.
