FINRA Arbitration

The Financial Industry Regulatory Authority (FINRA), which is the largest independent securities regulator in the United States, arbitrates securities-related cases that meet the following criteria: For disputes with investors, the dispute involves an investor and an individual or corporate entity registered with FINRA. Examples include cases between investors and brokers or brokerage firms. For disputes between business parties, the dispute is between individuals or corporate entities registered with FINRA, such as cases between brokers or brokerage firms.