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Topic: financial reform

The Impact of the Great Recession Continues - FINRA Arbitration Reform and Customer Choice

Posted by Ross Webster on February 16th, 2011

Effective January 31, 2011, customers in FINRA arbitrations have a new choice when it comes to trying to resolve disputes with their securities broker. FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of disputes between and among investors, securities firms and individual registered representatives. As long as the customer’s claim qualifies for a three arbitrator panel, the customer will decide whether a securities industry professional will be a member of the arbitration panel.

Topics: FINRA, arbitration, Broker-Dealer, financial reform