What kinds of investment and securities disputes can be mediated?

Securities and investment disputes commonly include investor claims involving brokerage firms or associated persons, such as allegations concerning unsuitable or inappropriate investment recommendations, misrepresentation or omissions, unauthorized trading, excessive trading, failure to supervise, and related sales-practice issues. Industry disputes may also involve firms and associated persons, including certain employment and compensation matters.

Under FINRA's mediation rules, if all parties agree, a matter eligible for arbitration under FINRA's Customer or Industry Code—or part of or a dispute related to such a matter—may be submitted to mediation. FINRA mediation provides the parties an opportunity to work with a neutral mediator toward a negotiated resolution without having the mediator decide the merits of the dispute.