FINRA Arbitration - Treatise?

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TTH
Posts: 10378
Joined: Mon May 04, 2009 1:14 am

FINRA Arbitration - Treatise?

Postby TTH » Wed Aug 01, 2012 10:16 am

Hey Bros,

I'm drafting a document for a FINRA arbitration. Anyone have any experience with this? I'm just looking for a treatise or practice guide for FINRA on Westlaw and am not finding any. Any suggestions?

NotMyRealName09
Posts: 1394
Joined: Mon Nov 09, 2009 5:50 pm

Re: FINRA Arbitration - Treatise?

Postby NotMyRealName09 » Wed Aug 01, 2012 11:04 am

That shits the wild west. You can submit a formal pleading, or fuck it, just write a letter to the panel and make your argument - they'll accept both without hesitation. There is no standard form. The closest thing there is to a practice guide is the FINRA rules themselves, I'd start there. You probably only have one lawyer on your panel, so be mindful of your audience.

How do I know? I'm working on a massive FINRA arbitration right now, have been for a year now.




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