FINRA Releases Requirements for Investment Advisors to Use FINRA Arbitration

November 02, 2012

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FINRA Dispute Resolution has announced its criteria for accepting investment advisor disputes before its arbitration forum.  Click here for FINRA’s guidance.  

Of particular interest, FINRA explains  that a non-FINRA member investment advisor and the other parties will be required to provide FINRA with a post-dispute agreement to arbitrate and submit the dispute to FINRA (signed by all the parties after the events occurred that gave rise to the underlying dispute).    

It will be interesting to see whether any investment advisors find FINRA Dispute Resolution as a better or superior forum for arbitration.    


Posted by Bryan Hill
Labels: FINRA