Do securities arbitration decisions become public records?

Securities arbitration decisions become public records when a decision is published and a copy is filed with the Financial Industry Regulatory Authority (FINRA). This means that the results of the arbitration hearing become public knowledge. In Tennessee, the FINRA is responsible for deciding disputes between investors, brokers, and dealers. Once the arbitration decision is made, it is published online and made available to the public. The FINRA also provides resources to the public on an on-going basis, including detailed information about securities arbitration cases, such as the date and time of the hearing, the names of the parties involved, and the name of the arbitrator or panel that made the decision. However, the details of the arbitration hearing are not made public. Any private conversations held during the proceedings cannot be published and remain confidential. For investors in Tennessee, the publication of the arbitration decision is an important step in helping investors resolve their disputes with brokers and dealers. Investors can use the decision to understand their rights and better understand securities laws and regulations. Additionally, the publication of the arbitration decision serves as a deterrent to those considering engaging in securities fraud or unethical business practices, as they know their decisions will become public record.

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Do securities arbitration decisions become public records?

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