SEC Details Arbitration and Mediation Process for Customer Disputes with Broker-Dealer

In a recent Investor Bulletin, the SEC Office of Investor Education and Advocacy outlined the arbitration and mediation processes that are involved a customer's dispute with a broker-dealer. The SEC described the general arbitration process, FINRA dispute resolution and fees, how to file an arbitration action in the FINRA Forum, the process of mediation, and other aspects of broker-dealer/customer arbitration.