The Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It’s a bit like a sci-fi heroine finding herself in an alternate universe where up is down and the sun rises at midnight but sets at 8:00 a.m. In the FINRA universe, everybody has agreed to arbitrate or mediate their disputes.

Some FINRA arbitrators prefer to arbitrate cases, while others prefer mediation. As a FINRA arbitrator and mediator, I believe that there is value in choosing to do both. I find that I am a stronger, more effective mediator because of my work as an arbitrator and vice versa—my arbitration work is stronger because of my work as a mediator.

FINRA Arbitration and Mediation