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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. By agreement with these other exchanges, the exchanges adopt FINRA s rules and subject the firms registered with the exchanges to FINRA Dispute Resolution s rules and procedures.

In arbitration, an impartial person or panel hears the presentations of the parties, evaluates the evidence and decides how the matter will be resolved. When you choose arbitration to resolve your dispute, you forego the opportunity to have the same matter decided by a court of law because an arbitration award at this forum is final and binding.

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