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Discussion Paper— FINRA Perspectives on …
Discussion paper . FINRA Perspectives on Customer Recovery FEBRUARY 8, 2018 Customers who pursue civil remedies or arbitration claims against investment professionals cannot always recover on their judgments or awards. Customers Contents encounter this challenge across the forums in which they may pursue action . whether state or federal court, a dispute resolution forum administered by a I. Summary Customer Recovery regulator, a private arbitration venue, or otherwise and across the range of financial in FINRA Arbitration 2 services they may use. When a customer is unable to recover on a judgment or award, the customer may be left without any redress for the harm suffered, and public II. Background 4 confidence in the financial services industry and the regulatory framework under A.
2 FINRA Perspectives on Customer Recovery | February 2018 claims that arise from other forums or that are against other types of financial firms. A holistic consideration of how customer recovery is or is not addressed across related areas of financial
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