Practice areas
FINRA Arbitration
FINRA arbitration is the forum where most disputes between investors and brokerage firms are decided. A panel of arbitrators hears the evidence and issues a binding award. Tracy Pride Stoneman has handled FINRA arbitrations for more than thirty years.
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Common questions
FINRA Arbitration: what clients ask
What is FINRA?
FINRA, the Financial Industry Regulatory Authority, regulates brokerage firms and stockbrokers in the United States. It also runs the arbitration forum where customer disputes with those firms are resolved.
How long does a FINRA arbitration take?
Many cases settle before a hearing. Those that go to a final hearing commonly take more than a year from filing to award, depending on the complexity of the case and the schedules of the arbitrators and the parties.
Who decides my case?
A panel of arbitrators, usually three for larger claims, selected through a FINRA process in which both sides rank and strike candidates. Investors can choose an all-public panel, meaning no arbitrator who works in the securities industry.
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