Dispute Resolution

Introduction
NFA's Role in the U.S. Futures Industry
How NFA Fights Fraud and Abuse
Resources for Investors
Dispute Resolution
Making Self-Regulation Work
Meeting the Regulatory Needs of an Evolving Industry

Dispute Resolution

Disputes occasionally occur in any business, and the futures industry is no exception. In 1983, NFA began an arbitration program, providing a convenient, inexpensive and prompt method for investors to resolve futures-related disputes. Since that time, NFA arbitration has become the primary venue for dispute resolution in the futures industry.

In October 2001, we became the first regulatory organization in the financial services industry to accept arbitration claims online. Customers can file their arbitration claims on NFA's website, and within minutes, we send a reply stating that the claim has been received.  Then, as the case progresses, claimants and respondents can check the status of their case online.

NFA offers a mediation alternative during the arbitration process in cases where the total amount of the arbitration claim is $150,000 or less. Mediation is a settlement process where the parties work together with a mediator to find a solution they can live with. Settling a dispute through mediation can save the parties time and money.