Introduction to Securities Arbitration
The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 25 years. An excellent introduction to the process.

Typical Customer Arbitration Disputes
An overview of the claims which are typically brought by retail customers against their stock brokers.

Churned or Traded?
An examination of the elements of a churning claim, and what makes a churned account different from a traded account.

Judging Suitability
A broker's recommendations to a customer must be suitable for that customer's investment goals and experience. What does that mean in the real world, and how is suitability determined?

FINRA Forms

Uniform Forms Guide - FINRA has put all of its arbitration related forms, including uniform submission agreements and the claim information sheet, in one PDF file, which also contains helpful information regarding the filing of an arbitration claim.

Arbitrator Application - FINRA always needs qualified arbitrators. The process starts with this application

Claimant Submission Agreement - FINRA requires the parties to sign a submission agreement. The claimant's form is here, respondents recieve the form when they are served with the statement of claim.

Request for Mediation - use of FINRA's mediation services are not required, but this is the form to request FINRA's assistance in starting the process

Article Archives

Article Archives
Collection of all of the arbitration articles and commentary from the site, arranged in chronological order. You can also search the site for relevant commentary

Discussion Forums

In the Arbitration Forum, attorneys, investment bankers and corporate executives discuss financing issues. Go directly to the Arbitration Forum, or search all of the forums for the topics of interest to you.

Arbitration Codes and Statutes

Uniform Arbitration Act
This is the model Act, used as the basis for the drafting of state statutes relating to arbitration.

Introduction to FINRA Mediation 
FINRA's introduction to its mediation program, an alternate means of resolving disputes with securities brokers.