How Does FINRA Mediation Work?

Learn more about the process of FINRA mediation from a securities mediation attorney, and find out what happens if you don’t sign the settlement agreement.

If you have been wronged by your stockbroker or brokerage firm, you may be facing mediation through the Financial Industry Regulatory Authority (FINRA). The mediation process allows you and your broker to work with a neutral third party to come to an appropriate solution. FINRA mediation proceedings can generally be broken down into these four major steps:

  • The mediation process is initiated with FINRA.
  • A neutral third party mediator is agreed upon and selected.
  • The mediation sessions take place in an attempt to work toward a settlement.
  • The mediation results in either a settlement or an impasse.

The mediation process is completely voluntary, and you are under no obligation to agree to the settlement if you are dissatisfied with the outcome. You can instead choose to proceed with formal arbitration proceedings.

Going through FINRA mediation and arbitration can be a lengthy and confusing process. Turn to the professionals for valuable advice and support along the way. You can reach a skilled securities mediation attorney with Meyer Wilson today by calling us or filling out our confidential online contact form. Our investment fraud lawyers have represented investors nationwide in stockbroker mediation, arbitration, and litigation, and we take pride in putting our resources and experience to work for each and every one of our clients.

To learn more about protecting yourself and your family from securities fraud and stockbroker misconduct, request your FREE copy of our helpful book Five Signs of Investment Fraud …And What to Do if it’s Happened to You.


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