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June 18, 2012

What Makes a Case Eligible for FINRA Arbitration or Mediation.

Disputes with Investors require that the case involve an investor and an individual or entity registered with FINRA. Examples include cases between investors and brokers, cases between investors and brokerage firms and between investors, brokers and broker firms. Additionally, the claim must be filed within six (6) years from the time the disputed event(s) occurred.

Disputes involving industry parties require that the case involves an individual or entity registered with FINRA. Such cases include cases between brokerage firms, brokers or between or among brokerage firms and brokers. The claim must be filed within six (6) years from the time the dispute(s) occurred.

In order for a case to be eligible for mediation, they must first be eligible for arbitration AND all parties must agree to mediate all the issues involved in the case.