Mediation

Mediation is a voluntary, non-binding process that allows parties to work with a mediator to try to quickly resolve differences.  Mediation may result in a settlement that is mutually agreeable to all parties in the dispute, avoiding the need for arbitration or litigation.  Investors who are unable to resolve a dispute through mediation can still go to arbitration.

Websites for the FINRA Dispute Resolution, Inc. and the New York Stock Exchange have more information about mediation.