A Look at the FINRA's Rules Limiting Motions to Dismiss in Arbitration Proceedings

March 15, 2010


Publication
New Jersey Law Journal, Alternative Dispute Resolution

Logan S. Fisher
Regina Pepe Martorana


The Financial Industry Regulatory Authority (“FINRA”) operates the largest dispute resolution forum in the securities industry. It oversees the arbitration and mediation of disputes between investors, securities firms and individual registered representatives. It has been one year since FINRA implemented new rules significantly limiting the use of motions to dismiss in arbitration.

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