Arbitrator Information Update Form

It is essential that the information FINRA Dispute Resolution provides to parties regarding the arbitrators on our roster be accurate and up-to-date. For this reason, arbitrators have a continuing obligation to update the roster information that we maintain on their behalf.


Accordingly, if you are already an arbitrator on our roster, please use the following form to notify us of any new or revised information. If you are not a roster member but would like to be, view our arbitrator recruitment brochure on how to become an arbitrator. You can also access an arbitrator application form and instructions online.
* Required Fields  
Check one:* I am on an active case (update required in 24 hours)
I am not on an active case (update expected within 3-5 days)
Title: Mr.         Mrs.       Ms.
First Name:*
Middle:
Last Name:*
Arbitrator #:
Social Security Number:* XXX-XX- Last four (4) digits only.
Contact Information
Primary Phone:*
Cell Phone:
Fax:
Email:
Address Information
Primary Address*
Firm Name (if applicable):
Street:
Building/Suite/Apt. No.
City:
State:
Country:
Zip:
Identify address where FINRA should send honoraria/expense checks*
Is the same as your primary address?
Firm Name (if applicable):
Street:
Building/Suite/Apt. No.
City:
State:
Country:
Zip:
For 1099 Tax Purposes, identify how your honorarium should be applied:
Social Security # on file
Tax ID#
Secondary Address (if applicable)
Firm Name (if applicable):
Street:
Building/Suite/Apt. No.
City:
State:
Country:
Zip:
*1. Have you changed your employer?
Yes No
If yes, please provide the start and end dates of the old employment and the new employment.
You will receive your background narrative, via email, to revise with this updated information.
 Employer NameTitleFromTo
Old Employer:
New Employer:Present
2. Please list any new arbitrator, mediator or other dispute resolution-related training.
Please do not include training provided by FINRA E-Learning.
DateSponsorTitleHoursLocation
MM/DD/YYYY
*3. Please answer the following questions regarding your professional practice or client base.
Yes No
A. Are you, or have you been, within the past five years:
i. associated with a broker or a dealer (including a government securities broker or dealer or a municipal securities dealer);
ii. registered under the Commodity Exchange Act;
iii. a member of a commodities exchange or a registered futures association; or
iv. associated with a person or firm registered under the Commodity Exchange Act?
B. Are you retired from engaging in any of the business activities listed in Question A above but continue to receive benefits (e.g., pension, health care, etc.) from such activities?
C. Have you spent a substantial part of your career engaged in any of the business activities listed in Question A above? If so, how many years?
D. Are you an attorney, accountant, or other professional who has devoted 20 percent or more of his or her professional work, in the last 2 years, to clients who are engaged in any of the business activities listed in Question A above?
E. Are you an employee of a bank or other financial institution who effects transactions in securities including government or municipal securities, and commodities futures or options, or supervises or monitors the compliance with the securities and commodities laws of employees who engage in such activities?
F. Have you engaged in conduct or activities described in Questions A through D above for a total of 20 years or more?
G. Are you an investment adviser?
H. Are you an attorney, accountant or other professional whose firm derived 10 percent or more of its annual revenue in the past two years from any persons or entities listed in Questions A through D above?
I. Are you the spouse or an immediate family member (see Rule 12100/13100(u)) of a person who is engaged in the conduct or activities described in Questions A through D above?
J. None of the above categories apply.
4. Please inform us of any changes or new disclosures about clients, accounts or conflicts.
*5. Is your spouse or other member of your immediate family associated with a FINRA member firm or other broker/dealer municipal securities broker/dealer or government securities broker/dealer?
Yes
No, my spouse/family member(s) is/are not associated with one of the above.
If yes, please explain:
*6. Have you ever been named as a party by an investor in any civil lawsuit or arbitration proceedings?
Yes
No
If yes, please explain:
7. Please include any other information you would like to update. (For example, the date of opening or closing any brokerage firm account for you or any immediate member of your family, new clients, etc.)
*8. To edit or update the narrative summary of your background, select "yes" below. We will send you an electronic file that you may correct or update and send back to us.

If an employment change is included in this update, you MUST select "yes" below, to update your narrative summary.
Yes, please send my narrative summary to the email address above.
No, I do not have any changes to my narrative summary at this time.


NOTE: Before you click "Submit Update", review your update to ensure that it is accurate and complete.