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May 2012 Archives

Filing FINRA Arbitration Claims

SUMMARY: Virtually all account opening documents signed by investors contain mandatory arbitration agreements, whereby investors (and the brokerage firms) waive their right to trial in a court of law. Thus, to pursue legal action against financial entities, investors are required to file their claims with the FINRA Arbitration Forum.

Search FINRA Arbitration Awards

FINRA offers an online search resource for conducting web-based searches for FINRA and historical NASD arbitration awards. The service is free of charge and available 24/7.

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