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.