FINRA Code of Arbitration Procedure

FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives.

On April 16, 2007, the Code of Arbitration Procedure applicable to the adjudication of customer intiiated, investment related claims in FINRA arbitrations against stockbrokers, securities broker-dealers, and investment professionals for fraud in connection with the sale of securities, the sale of unsuitable investments, the sale of unregistered securities, breach of fiduciary duty, fraud, negligence, and the failure to supervise.