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How Do You File a FINRA Arbitration Claim?

Learn how to file a FINRA arbitration claim, how arbitration differs from a complaint, and when it may be a recovery path for a securities-related dispute.

Direct answer

To file a FINRA arbitration claim, use FINRA's dispute-resolution process for securities-related disputes involving brokerage firms or brokers. Arbitration is different from a FINRA complaint because it is meant to resolve a dispute and may be used to seek recovery, while a complaint is mainly regulatory reporting.

securities-related dispute + FINRA arbitration filing = dispute-resolution claim

Complaint, arbitration, or mediation

Report misconduct

FINRA complaint

Does not guarantee recovery

Seek recovery

FINRA arbitration

Award not guaranteed

Try negotiated resolution

FINRA mediation

Usually voluntary

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Need case filings

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For case participants

Arbitration is a dispute process

Use arbitration when the goal is dispute resolution for a securities-related claim. Use a complaint when the goal is to alert FINRA to possible broker or firm misconduct.

File the arbitration claim

  1. 1Confirm the dispute is securities-related and involves a broker or brokerage firm.
  2. 2Separate your regulatory complaint goal from your recovery or dispute-resolution goal.
  3. 3Review FINRA's arbitration and mediation information.
  4. 4Prepare claim facts, account records, loss information, and supporting documents.
  5. 5Use FINRA's dispute-resolution filing path and track case instructions after filing.

FAQ

Is FINRA arbitration the same as filing a complaint?

No. A FINRA complaint is for regulatory review. FINRA arbitration is a dispute-resolution process for securities-related disputes and possible recovery.

Can I seek money recovery through FINRA arbitration?

Arbitration can be an avenue for pursuing recovery in securities-related disputes, but filing a claim does not guarantee an award.

What if I prefer mediation?

FINRA also offers mediation. Mediation is a separate dispute-resolution option and usually depends on the parties' willingness to participate.

Sources & method

We reviewed these references while writing this answer. Figures are estimates — confirm safety-critical work with a professional. Last updated June 7, 2026.