How does FINRA’s Administrative Staff handle a case How does FINRA’s Administrative Staff handle a case? FINRA’s procedure is to assign a case administrator to every case. Case administrators are responsible for managing individual cases. They ensure that each aspect of the case is administered properly. Other staff are available to answer procedural and case-specific… Continue reading How does FINRA’s Administrative Staff handle a case?
FINRA facilitates the resolution of disputes. What does FINRA facilitate? FINRA Dispute Resolution (FINRA) is the largest dispute resolution forum in the securities industry, handling most securities arbitrations in the USA. FINRA facilitates the efficient resolution of monetary, business and employment disputes among investors, securities firms and employees of securities firms. FINRA is subject to… Continue reading FINRA facilitates the resolution of disputes.
FINRA Touches This is what FINRA touches – From the FINRA’s Arbitrators’ Guide 2012: “The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration operations of… Continue reading FINRA touches?
About the Arbitration Process at FINRA What is the Arbitration process at FINRA. Arbitration is a method of resolving a dispute between two or more parties. Parties must agree to abide by the decision of an arbitrators, such as myself, who as a group are impartial persons committed to rendering a fair and impartial decision… Continue reading About the Arbitration Process at FINRA
FAQ: What is the Comprehensive Mediation Agreement? In order to ensure all parties understand the status and implications involved, a comprehensive Mediation Agreement dealing with issues such as confidentiality, admissibility and privilege in relation to documentation and information exchanged must be agreed in advance. The Mediation Agreement will also deal with the costs of the… Continue reading FAQ: What is the Comprehensive Mediation Agreement?