Motions to Dismiss in FINRA Arbitrations

Summary

This practice note discusses motions to dismiss in arbitrations conducted by the Financial Industry Regulatory Authority, Inc. (FINRA). Disputes involving investors and FINRA member firms and their associated persons may be heard by a FINRA arbitration panel under either FINRA's Code of Arbitration Procedure for Customer Disputes (Customer Code) or FINRA's Code of Arbitration Procedure for Industry Disputes (Industry Code), depending on the type of parties to the dispute. This practice note discusses: