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FINRA

FINRA operates a dispute-resolution forum for securities-related matters involving investors, brokerage firms, and industry professionals. Its services include arbitration and voluntary mediation, supported by case administration and published procedures. FINRA’s forum is designed for disputes that fall within its scope and rules, including matters between customers and firms and certain industry disputes. The organization also provides filing information and public arbitration-award records to help participants understand and follow the process. FINRA is a securities industry regulator whose dispute-resolution services form one part of its broader responsibilities.

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