FINRA Arbitration Archives

The End of Forced Arbitration?

Whether you realize it or not, if you have an account with a brokerage firm, it likely includes a mandatory arbitration provision, which provides that you waive your right to file suit against the brokerage firm in court. Instead, all disputes with the brokerage firm will be submitted to arbitration through the Financial Industry Regulatory Authority (FINRA).  FINRA (formerly known as the National Association of Securities Dealers (NASD)) is a self-regulatory organization, funded by the brokerage industry.

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