A customer is a person or entity that transacts business with any member firm and/or associated person.
An associated person is any person engaged in the investment banking or securities business who is directly or indirectly controlled by a FINRA member, whether or not they are registered or exempt from registration with FINRA. An associated person includes, but is not limited to, every sole proprietor, partner, officer, director, or branch manager of any FINRA member. (Note - this filing fee calculator does not apply to an associated person filing a statutory employment discrimination claim under Rule 13802 of the Industry Code if the claim is subject to a predispute arbitration agreement. For statutory employment claims subject to a predispute arbitration agreement, in no event shall an associated person pay more than $200 for a filing fee. Please refer to Rules 13802(d) and 13900(a) of the Industry Code for guidance on calculating filing fees.)
A FINRA member can file a claim in connection with the investment banking or securities business. The dispute, claim or controversy could also arise out of the employment or termination of employment of an associated person(s). This classification includes any non-FINRA member firms and/or clearing agencies that have a contractual relationship to utilize FINRA’s dispute resolution forum.