Transcription of Arbitration Claim Filing Guide - FINRA
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Arbitration Claim Filing Guide - FINRA
Dispute Resolution January 2017 EditionArbitration Claim Filing Guide1 TABLE OF CONTENTSI ntroduction to Dispute Resolution 2 PART ONE: Filing the Initial Statement of Claim 4 PART TWO: Filing Statements of Answer 9 PART THREE: Filing Other Claim (s) 10 PART FOUR: General Information 11 Claim Information Sheet 14 FINRA Arbitration Submission Agreement 23 Arbitration Claim Filing GUIDEFINRA Dispute Resolution One Liberty Plaza 27th Floor 165 Broadway New York, New York FINRA also provides dispute resolution services for several non- FINRA exchanges through contracted agreements.
This Arbitration Claim Filing Guide provides information for you and all parties involved in arbitration proceed-ings. The guide explains how to file an initial Statement of Claim and other pleadings. It also outlines the way pleadings should be served upon the other parties, and provides information and guidance on other aspects of
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