The REISA Arbitration/Litigation subcommittee is currently compiling a library of arbitration resources that include white papers, articles, expert commentary and written insights related to FINRA arbitrations or court cases. Current resources are listed below.
If you have a resource to submit for review, please click here.
If you are interested in joining or learning more about the Arbitration/Litigation subcommittee, contact the subcommittee chair, Barbara Halper at 760-468-5468 or or contact the REISA office at 317-663-4180 or .
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.
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.