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Finra arbitration Form: What You Should Know

Managers can access support information and file supporting documents on their firm's network. More on FINRA's Dispute Resolution Process FINRA.org's arbitration process is similar to that of other regulated bodies, such as the Securities and Exchange Commission and the American Bar Association. What Do I Need to Bring to a Dispute? While we cannot take on every claim that may arise in connection with a particular matter, we can take on all disputes that arise in connection with the services we offer. You will need to bring a copy of form 2872, with your complaint, if applicable. You will need the following information and documents required by the federal courts below and/or by the relevant state courts below:  Name and address of the parties: Names and addresses of all parties who appeared in an arbitration hearing and were deemed to have resolved a dispute. If any parties are residents of more than one State or Country, both parties must have proof of residency. You can find a list of all the state and federal courts below and a summary of the relevant provisions of Federal law here, including a copy of Form 2872 in an e-File format, here. An arbitration order and all materials accompanying the order must come from an administrative or non-judicial forum (“Arbitration Proceedings”) and state that each party consents to an Arbitration Proceeding, that the proceeding shall be binding according to Federal law and the arbitrator shall conduct proceedings only between the parties and their attorneys that are at least the minimum required to resolve the dispute or in accordance with the applicable law. Your name will be considered in the record. A copy of a claim form is necessary for both parties who appear for hearings at the arbitration hearings. Both parties must have the right to submit the documents you requested at the commencement of the arbitration proceedings. You will need all the required arbitration documents and information requested at the commencement of a “non-arbitration” claim. In accordance with a Federal court rule, one party may not be required to bear all costs of a final settlement. You and or the company may request a waiver of those fees. You will also need any other documents and information you need to present your case and to resolve any claim you may have against the company that you might have filed before the date of the hearing.

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