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 Securities and Exchange Commission (SEC) oversight, and the SEC must approve FINRA’s arbitration rules. The National Arbitration and Mediation Committee (NAMC) makes recommendations to FINRA regarding the conduct of arbitrations.
About the Author: Ken Strongman (www.kpstrongman.com) has years of experience and a growing national reputation as a mediator and arbitrator. He has successfully resolved more than a thousand disputes in the fields of construction defects, real estate, intellectual property, and employment. He is also a Mediator and Arbitrator for FINRA.
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