FINRA Customer Arbitration: A Step-by-Step Guide | Practical Law
A Practice Note describing the necessary steps for initiating and conducting an arbitration of a customer dispute in the US before the Financial Industry Regulatory Authority (FINRA) under the FINRA Code of Arbitration Procedure for Customer Disputes. This Note discusses the filing of an arbitration claim, answer and motions, as well as arbitrator appointment, discovery, hearings, sanctions, and awards in a customer arbitration.