Arbitration and Dispute Resolution - FINRA operates the largest dispute resolution forum in the securities industry to assist in the
resolution of monetary and business disputes between and among investors, securities firms, and individual registered representative.
The Securities Investor Protection Corporation (SIPC), created by the Securities
Investor Protection Act (15
U.S.C. §78aaa et seq., as amended), is neither a government agency nor a regulatory authority. It is a nonprofit, membership
corporation, funded by its member securities broker-dealers.