Arbitration and Mediation Forum
E512103
The Arbitration and Mediation Forum is FINRA’s dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation.
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
FINRA program
ⓘ
dispute resolution forum ⓘ |
| administers |
arbitration proceedings
ⓘ
mediation proceedings ⓘ |
| associatedWith | FINRA Dispute Resolution Services NERFINISHED ⓘ |
| basedOn |
FINRA rules
ⓘ
U.S. securities laws ⓘ |
| complements | court litigation in securities disputes ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| disputeResolutionType |
binding arbitration (for most cases)
ⓘ
non-binding mediation ⓘ |
| disputeType |
intra-industry disputes among financial firms and associated persons
ⓘ
investor-broker disputes ⓘ investor-dealer disputes ⓘ securities-related disputes ⓘ |
| enforcementContext | arbitration awards generally enforceable in court ⓘ |
| feature |
focuses on securities law and industry rules
ⓘ
offers voluntary mediation ⓘ uses neutral arbitrators ⓘ |
| governingBody | FINRA Board of Governors NERFINISHED ⓘ |
| hasProcess |
case evaluation
ⓘ
claim filing ⓘ hearing before arbitrators ⓘ issuance of arbitration award ⓘ mediation sessions ⓘ |
| jurisdiction | U.S. securities industry ⓘ |
| language | English ⓘ |
| legalNature | alternative dispute resolution forum ⓘ |
| method |
arbitration
ⓘ
mediation ⓘ |
| onlinePresence | https://www.finra.org/arbitration-mediation ⓘ |
| operatedBy | Financial Industry Regulatory Authority NERFINISHED ⓘ |
| operationalScope | nationwide in the United States ⓘ |
| parentOrganization | FINRA NERFINISHED ⓘ |
| purpose |
to provide arbitration services
ⓘ
to provide mediation services ⓘ to resolve securities-related disputes between investors and financial firms ⓘ |
| regulatesParticipants | member broker-dealers in disputes context ⓘ |
| regulatoryContext | self-regulatory organization framework ⓘ |
| relatedTo |
FINRA arbitration
ⓘ
FINRA mediation ⓘ |
| sector |
financial services
ⓘ
securities industry ⓘ |
| serviceFor |
broker-dealers
ⓘ
investors ⓘ other financial firms ⓘ registered representatives ⓘ |
| shortName | FINRA Arbitration and Mediation Forum NERFINISHED ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.