Securities Arbitration Forums

The arbitration department of the Financial Industry Regulatory Authority is the site for virtually all of the securities arbitrations that are conducted in the United States. Arbitrations are also conducted at private firms, such as the American Arbitration Association and JAMS.

The ability to utilize the arbitration process is granted by contract, and the agreement under which disputes are arbitrated often contain forum clauses, designating which arbitration forum will hear the dispute. Additionally, by virtue of their membership in the various organizations, securities professionals and their firms have agreed to arbitrate disputes against them at their member organization.

Information packets are available from each of the arbitration forums regarding the scope of the forum, the types of disputes that can be arbitrated at the specific forum, and procedures for arbitrating disputes.

 

Last Updated April 15, 2013

 


FINRA Dispute Resolution

165 Broadway
New York, New York 10006
212-858-4400

American Arbitration Association
140 West 51st. Street
New York, NY 10020-1203
212-484-3266 // Fax: 212-307-4387

Chicago Board Options Exchange, Inc.
400 LaSalle Street
Chicago, IL 60605
(312) 786-5600

Cincinnati Stock Exchange, Inc
440 S. LaSalle Street
Suite 2600
Chicago, IL  60605
312-786-8803 (phone)
312-939-7239 (fax)
Midwest Stock Exchange, Inc.
400 LaSalle Street
Chicago, IL 60605
Phone: (312) 663-2354

Municipal Securities Rulemaking Board
818 N Street, NW
Washington, DC 20036
Phone: (202) 223-9347

Pacific Stock Exchange
220 Bush Street
San Francisco, CA 94104
Phone: (415) 393-4000