FINRA Arbitration Uniform Submission Agreement Download Free Print-Only PDF OR Purchase Interactive PDF Version of this Form
FINRA Arbitration Uniform Submission Agreement Form. This is a Official Federal Forms form and can be use in FINRA.
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FINRA ARBITRATION Submission Agreement
Claimant(s)
In the Matter of the Arbitration Between
Name(s) of Claimant(s)
and
Name(s) of Respondent(s)
1. The undersigned parties (“parties”) hereby submit the present matter in controversy, as set forth in the attached statement of
claim, answers, and all related cross claims, counterclaims and/or third-party claims which may be asserted, to arbitration in
accordance with the FINRA By-Laws, Rules, and Code of Arbitration Procedure.
2. The parties hereby state that they or their representative(s) have read the procedures and rules of FINRA relating to arbitration,
and the parties agree to be bound by these procedures and rules.
3. The parties agree that in the event a hearing is necessary, such hearing shall be held at a time and place as may be designated
by the Director of Arbitration or the arbitrator(s). The parties further agree and understand that the arbitration will be
conducted in accordance with the FINRA Code of Arbitration Procedure.
4. The parties agree to abide by and perform any award(s) rendered pursuant to this Submission Agreement. The parties further
agree that a judgment and any interest due thereon, may be entered upon such award(s) and, for these purposes, the parties
hereby voluntarily consent to submit to the jurisdiction of any court of competent jurisdiction which may properly enter such
judgment.
5. The parties hereto have signed and acknowledged the foregoing Submission Agreement.
Claimant Name (please print)
Claimant’s Signature
State capacity if other than individual (e.g., executor, trustee or corporate officer)
Date
Claimant Name (please print)
Claimant’s Signature
State capacity if other than individual (e.g., executor, trustee or corporate officer)
Date
If needed, copy this page.
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