Get Finra Dispute Resolution Order

The FINRA Dispute Resolution Order is an essential document used in the resolution of disputes within the financial services industry. This guide will provide you with clear, step-by-step instructions on how to complete this form online, ensuring accurate and effective submission.

Follow the steps to successfully complete the form online.

1. Click ‘Get Form’ button to obtain the form and open it in the editor.
2. Begin by entering the case number at the top of the form. This number identifies your specific dispute.
3. Provide the case name, which typically includes the involved parties' names.
4. Outline the issues being addressed in the form. Clearly state the name of the motion or request and identify the party submitting it. Ensure you use precise language to express the details.
5. Indicate whether a pre-hearing conference was held by circling 'Yes' or 'No.' If a conference took place, enter the date and time.
6. List all participants in the conference. Fill in the name of the chairperson, panelists, claimant's representative, and respondents' representatives in the designated spaces.
7. Choose whether the decision was made by the chairperson or the panel by circling one option.
8. For the rulings section, provide clear and detailed written conclusions. Utilize the available lines to present each ruling; if you require more space, attach additional pages.
9. Specify a compliance date by which all parties must adhere to the order.
10. If applicable, distribute the forum fees among the parties by filling in the percentage assessments as necessary.
11. Sign the form in the designated area where requested, indicating your position as chairperson, along with the date of the ruling.
12. Once you have completed all sections accurately, save any changes and consider downloading, printing, or sharing the completed form with relevant parties.

Complete your FINRA Dispute Resolution Order online today to ensure proper documentation of your case.