FINRA Arbitration Primer - Part 3 of 8 | FINRA Arbitration Lawyer

How Do I Start My FINRA Arbitration Claim?

A FINRA arbitration is started by the filing of a Statement of Claim, which is similar to a complaint that would be filed in court. Unlike the strict pleading requirements in court, under FINRA rules, investors merely need to include in their Statement of Claim “the relevant facts and remedies requested.” Investors must file their FINRA claims within 6 years of the occurrence or event giving rise to the claim. So, if you think that a broker or brokerage firm has lied to you, acted negligently, or committed some other misconduct, you should act promptly.

After the Statement of Claim is filed the brokerage firm or broker that is the subject of your claim has 45 days to files their Answer, which will contain their version of the story.

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Dimond Kaplan & Rothstein, P.A. has represented hundreds of Wall Street fraud and broker negligence victims throughout the United States, Mexico, Central America, and South America. Our firm maintains offices in Miami, Los Angeles, New York, and West Palm Beach. If you believe a stockbroker or a brokerage firm caused your investment losses, contact a DKR FINRA arbitration lawyer for a free case evaluation.


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