Dispute Resolution October 2009 Edition
Dispute Resolution October 2009 Edition
Uniform Forms Guide
TABLE OF CONTENTS
Introduction to Dispute Resolution Part One: Filing the Initial Statement of Claim Part Two: Filing Statements of Answer Part Three: Filing Other Claim(s) Part Four: General Information Claim Information Sheet Submission Agreement – Claimants Submission Agreement – Respondents 2 4 9 10 11 14 22 23
UNIFORM FORMS GUIDE
FINRA Dispute Resolution One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006 www.finra.org/arbitration_mediation
Introduction to Dispute Resolution
FINRA sponsors a forum for securities dispute resolution. Our arbitration program administers claims involving customers of brokerage firms and disputes between brokerage firms and their employees. We also offer a full-scope mediation program. Mediation and arbitration are non-judicial methods of resolving disputes between two or more parties. Any type of dispute, claim or controversy arising out of business dealings with any FINRA brokerage firm1 can be resolved in mediation or arbitration.
For more information on our mediation program, please see the publication FINRA Mediation—An Alternate Path to Resolving Securities Disputes, available on our Web site at www.finra.org/arbitration_mediation.
FINRA Arbitration
If all parties do not fully settle their claims or you decide to arbitrate your claim without mediation, you may submit your claim to FINRA. 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. This Uniform Forms Guide provides information for you and all parties involved in arbitration proceedings. The guide explains how to file an initial Statement of Claim and other pleadings. It also
Uniform Forms Guide
TABLE OF CONTENTS
Introduction to Dispute Resolution Part One: Filing the Initial Statement of Claim Part Two: Filing Statements of Answer Part Three: Filing Other Claim(s) Part Four: General Information Claim Information Sheet Submission Agreement – Claimants Submission Agreement – Respondents 2 4 9 10 11 14 22 23
UNIFORM FORMS GUIDE
FINRA Dispute Resolution One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006 www.finra.org/arbitration_mediation
Introduction to Dispute Resolution
FINRA sponsors a forum for securities dispute resolution. Our arbitration program administers claims involving customers of brokerage firms and disputes between brokerage firms and their employees. We also offer a full-scope mediation program. Mediation and arbitration are non-judicial methods of resolving disputes between two or more parties. Any type of dispute, claim or controversy arising out of business dealings with any FINRA brokerage firm1 can be resolved in mediation or arbitration.
For more information on our mediation program, please see the publication FINRA Mediation—An Alternate Path to Resolving Securities Disputes, available on our Web site at www.finra.org/arbitration_mediation.
FINRA Arbitration
If all parties do not fully settle their claims or you decide to arbitrate your claim without mediation, you may submit your claim to FINRA. 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. This Uniform Forms Guide provides information for you and all parties involved in arbitration proceedings. The guide explains how to file an initial Statement of Claim and other pleadings. It also