FINRA Arbitration

The Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization for securities-related matters and assists in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.

FINRA has two main components: arbitration and mediation. Arbitration is a formal dispute resolution process whereby a single arbitrator or a panel of arbitrators (who must be neutral and a third-party to the participants to the arbitration) is appointed and must decide on particular issues based on documents provided by the parties and the argument set forth by the parties. Mediation is a less formal dispute resolution process that is not binding and is based on the parties’ willingness to resolve their issues in a consensual manner. The role of the mediator is to help parties reach a mutually acceptable solution.

FINRA may be used to adjudicate disputes between employers and employees where their employment contract directs all employment issues to be settled by FINRA. The Harman Firm, LLP, has experience with the arbitration and mediation processes at FINRA and has litigated different cases in that forum dealing with employment discrimination, wrongful termination or hostile work environment.

The Harman Firm, LLP, offers aggressive and resourceful representation to individual brokers who have an employment dispute with their employers. We can escort you through the FINRA process and assist you in reaching a positive resolution of your dispute.

Link to FINRA’s website: http://www.finra.org/ArbitrationAndMediation/