Securities Dispute Resolution: Filing a Complaint

{
  "id": "MLC-T-LAW-004437",
  "term": "Securities Dispute Resolution: Filing a Complaint",
  "field": "Law",
  "definition": "The initial step in a formal dispute resolution process within the securities industry, where an aggrieved party submits a written statement detailing their claims against another party, typically a broker-dealer or investment advisor. This document outlines the facts, legal theories, and requested relief. The Financial Industry Regulatory Authority (FINRA) provides specific forms and procedures for filing such complaints.",
  "url": "https://mlchart.com/terminology/law/securities-dispute-resolution-filing-a-complaint/"
}