Arbitration Resources

The REISA Arbitration/Litigation subcommittee is currently compiling a library of arbitration resources that include white papers, articles, expert commentary and written insights related to FINRA arbitrations or court cases. Current resources are listed below.

If you have a resource to submit for review, please click here.

If you are interested in joining or learning more about the Arbitration/Litigation subcommittee, contact the subcommittee chair, Barbara Halper at 760-468-5468 or or contact the REISA office at 317-663-4180 or .


Resource Library

FINRA Arbitration Report Card 2007
The report supports FINRA’s claim that the arbitration system is fair and superior to actions in court. The “fair system” has been modified since the publication of this report.
Part One
Part Two
Part Three

Arbitration Hearing Simulation-FINRA’12
A mock expungement hearing has been transcribed followed by summaries of several real cases in which the arbitration panels had similar situations, but came up with different results.

Enforcement Case Trends-FINRA’12
FINRA Enforcement priorities are listed as well as recent trends in disciplinary actions.

FINRA Dispute Resolution Brochure
A basic guide to the dispute resolution process.

Avoiding Arbitration
How to prevent a FINRA claim and handle the unthinkable if it happens

Preparing for Arbitration

New Hampshire Business Review - How to prepare for and survive and FINRA visit

What to Expect - FINRA's Dispute Resolution Process

What Arbitrators Want to See and Hear

FINRA's The Neutral Corner - Volume 1 - 2012

How to Prevent and Resolve Disputes with Your Broker
The Guide covers investors' rights and responsibilities and tips on how to research brokerage firms and brokers. The guide also goes through the arbitration process, what to expect at a hearing and mediation.

FINRA Pre-Hearing Script

FINRA Code of Mediation


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