Series 14: 1.8. Dispute Resolution Procedures

Taken from our Series 14 Online Guide

1.8. Dispute Resolution Procedures

As we have seen, FINRA, through its Code of Procedure, has the authority to bring punitive action against member firms and associated persons for statutory and rules violations. Customers, member firms, and associated persons do not have such authority. Customers may file complaints to FINRA’s Enforcement Department, which may trigger an investigation leading to a hearing and judgment, but FINRA will be the complainant. Member firms and associated persons cannot drag one another into a formal proceeding.

Customers and associated persons generally sign away their right to take a disputed matter to court. Form U4 contains a predispute arbitration clause. Upon signing

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