FINRA Arbitration Forum
E23445
The FINRA Arbitration Forum is a dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation overseen by the Financial Industry Regulatory Authority.
Aliases (2)
Statements (50)
| Predicate | Object |
|---|---|
| instanceOf |
alternative dispute resolution mechanism
→
arbitration forum → dispute resolution forum → |
| administers |
customer disputes
→
employment disputes in securities industry → industry disputes → |
| aimsTo |
provide cost-effective dispute resolution
→
provide efficient dispute resolution → provide fair dispute resolution → |
| awardEnforceableIn |
court
→
|
| decisionType |
binding arbitration award
→
|
| focus |
intra-industry disputes
→
investor-broker disputes → investor-dealer disputes → securities-related disputes → |
| governedBy |
FINRA Code of Arbitration Procedure
→
FINRA Code of Mediation Procedure → |
| hasFeature |
discovery procedures
→
evidentiary hearings → expungement proceedings → panel selection process → written awards → |
| hasParticipant |
broker-dealer
→
investment adviser representative → investor → member firm → registered representative → |
| hearsClaimType |
breach of contract
→
breach of fiduciary duty → churning → misrepresentation → negligence → omission of material facts → unauthorized trading → unsuitable investment recommendations → |
| industry |
securities industry
→
|
| jurisdiction |
United States
→
|
| offersProcess |
arbitration
→
mediation → |
| operatedBy |
Financial Industry Regulatory Authority
→
|
| primaryLanguage |
English
→
|
| regulatedBy |
Financial Industry Regulatory Authority
→
|
| relatedTo |
FINRA Dispute Resolution Services
→
|
| shortName |
FINRA Forum
→
|
| subjectTo |
FINRA rules
→
U.S. federal securities laws → state securities laws → |
| usesDecisionMaker |
arbitration panel
→
arbitrator → |
| usesNeutral |
mediator
→
|
Referenced by (3)
| Subject (surface form when different) | Predicate |
|---|---|
|
Financial Industry Regulatory Authority
→
|
operates |
|
FINRA Arbitration Forum
("FINRA Dispute Resolution Services")
→
|
relatedTo |
|
FINRA Arbitration Forum
("FINRA Forum")
→
|
shortName |