What is FINRA?

A: Most Ohio securities arbitration claims are filed with the Financial Industry Regulatory Authority (FINRA). As the largest independent regulator of U.S. securities firms, FINRA oversees the vast majority of the country's securities arbitration cases. In fact, most clients sign mandatory arbitration provisions with their brokers and brokerage firms upon opening accounts that require mandatory arbitration proceedings be held in front of a FINRA panel in the case of a dispute. FINRA was created in 2007 by the combining of the National Association of Securities Dealers and the enforcement arm of the New York Stock Exchange. For additional information, please call our Ohio securities arbitration attorneys at 1.866.827.6537.