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Who Oversees Arbitration?

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Who Oversees the Arbitration Proceedings?

The arbitration proceedings are overseen by the organization stipulated in the mandatory arbitration provision of the agreement between the investor and his or her stockbroker or financial institution. Most securities arbitration proceedings instituted in the United States are administered by FINRA.

Attorney Chad Kohler explains how the selection process works in these types of cases in the video below.

The FINRA Arbitration Panel

If your case is handled via FINRA arbitration, an arbitration panel comprised of FINRA representatives will hear the evidence and decide the outcome of your case. FINRA arbitrators must follow stringent guidelines as outlined in the Code of Arbitration Procedure.

The arbitrator or panel of arbitrators (three individuals) are neutral third parties designated to resolve the dispute. Any decision they make is referred to as an award, which is binding. Any decision made by an arbitrator cannot also be taken to court.

Arbitrators are charged with maintaining control over their conferences and hearings, understanding and properly applying the FINRA Code of Arbitration Procedure, and use every avenue for resolving the matter expediently and accurately.

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