FINRA intake that captures broker names and losses up front
Prospective clients confirm the brokerage firm or broker name, the financial loss they suffered, and whether the dispute happened within the last six years, while uploading account statements and broker correspondence for review.
The exact intake your finra enforcement and arbitration leads complete
This is the real 7-question guided intake for FINRA Enforcement and Arbitration — the same flow your customers finish before you ever pick up the phone.
What a qualified finra enforcement and arbitration lead should tell you
Disputes between an investor and a U.S. brokerage firm or broker/advisor over investment losses, unauthorized trading, or account mishandling, typically resolved through FINRA arbitration or mediation rather than standard civil court.
- Issue About Investment Account
- Customer/Investor (Or Authorized Representative
- Know Name Brokerage Firm
- Lose Money Or Suffer
- Problem Happen Within Last
- This Dispute Mainly About
- Willing Pursue Matter Through
The questions your team needs answered
Every finra enforcement and arbitration intake asks these — and why each one matters.
| Question | Why it matters |
|---|---|
| Is your issue about an investment account or securities (like stocks, bonds, mutual funds, options, or annuities) handled by a U.S. brokerage firm or financial advisor? | Confirms the dispute actually involves a U.S. brokerage-handled investment account, which is the first jurisdictional filter for a FINRA claim. |
| Are you a customer/investor (or the authorized representative of one) seeking to recover money or resolve a dispute with a brokerage firm or broker/advisor? | Establishes standing to bring the claim, whether as the investor themselves or as an authorized representative acting for them. |
| Do you know the name of the brokerage firm or the broker/advisor involved? | Knowing the broker or firm name lets staff check disciplinary history before the consultation is scheduled. |
| Did you lose money or suffer a significant financial impact that you believe is tied to what the broker/advisor or firm did or failed to do? | A quantifiable financial loss tied to the broker's conduct is the core damages element a FINRA arbitration claim needs. |
| Did the problem happen within the last 6 years (for example, the bad advice, trade, or account activity)? | FINRA arbitration eligibility generally requires claims within six years of the triggering event, so this flags a possible time-bar issue early. |
| Is this dispute mainly about investment advice, trading, fees, misstatements, unauthorized activity, or how your account was handled (not just a personal loan, real estate deal, or other non-investment matter)? | Separates genuine investment-advice or trading disputes from unrelated matters like personal loans or real estate, which fall outside FINRA's scope. |
| Are you willing to pursue the matter through FINRA arbitration/mediation or a similar process (instead of only filing in regular court)? | Confirms whether the prospective client will actually use FINRA arbitration or mediation, the primary forum these matters are built for. |
How Cliont scores finra enforcement and arbitration leads
Every answer is weighted automatically — no manual review required.
Value signals
- Issue About Investment Account: yes
- Customer/Investor (Or Authorized Representative: yes
- Know Name Brokerage Firm: yes
- Lose Money Or Suffer: yes
- Problem Happen Within Last: yes
- This Dispute Mainly About: yes
See the lead your team receives
FINRA Arbitration Lead - Unauthorized Trading Dispute
From first click to qualified lead
Follow people and businesses seeking counsel through one smooth, guided flow.
They land & meet you
Your video greeting plays instantly — a real face instead of a blank form.
They explain the matter
Smart questions adapt to their matter and capture the full scope.
They share the documents
The facts, dates, and any paperwork come attached, so you can assess the matter before the consultation.
You get a ready lead
Scored and qualified — waiting for you to win it.
Built for finra enforcement and arbitration workflows
| Cliont capability | FINRA Enforcement And Arbitration application |
|---|---|
| Weighted lead scoring | Combines the answers on brokerage involvement, broker identification, financial loss, and the six-year timing window into one score, so attorneys skip free consultations on matters outside FINRA's scope. |
| Conditional document upload | Collects account statements and broker correspondence tied to the reported financial loss so there's supporting documentation before the case reaches the CRM. |
| CRM routing | Pushes qualified FINRA disputes into the CRM with the broker/firm name and loss details pre-filled from the intake answers. |
| Arbitration-fit flag | Surfaces whether the prospective client is willing to use FINRA arbitration or mediation, so staff can see upfront if someone insists on court litigation instead. |
Common finra enforcement and arbitration lead scenarios
Unauthorized trading loss
Investor names the brokerage firm and reports a significant loss from unauthorized trades within the last six years, flagging strong signal across the value questions.
Dispute outside investment scope
Caller's complaint turns out to be about a personal loan or real estate deal rather than a brokerage-handled account, so the dispute-type question keeps this from scoring as a strong match.
Old account issue past window
Investor describes a bad advisory relationship, but the activity happened more than six years ago, which the timing question surfaces for the reviewing attorney before a consultation is booked.
Litigation-only preference
Investor wants to go straight to court and declines FINRA arbitration or mediation, so the intake still records the loss details but flags the reduced fit for an arbitration-focused practice.
Representative filing for family member
An authorized representative reports losses on behalf of an elderly investor but doesn't yet know the broker's name, prompting a clear follow-up flag rather than an outright pass.
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More securities law intake templates
FINRA Enforcement and Arbitration lead-intake FAQs
How does the intake screen out disputes that have nothing to do with securities?
The intake asks whether the issue involves an investment account or securities handled by a U.S. brokerage firm and whether the dispute is mainly about advice, trading, or account handling rather than a personal loan or real estate deal, so non-securities matters are flagged before a consultation is offered.
What if the prospective client doesn't know the broker or firm's name yet?
The intake still captures the loss and timeline details and flags the missing broker identification separately, so staff can decide whether to follow up for that information rather than disqualifying the lead outright.
Does the intake check whether the claim is still within the FINRA eligibility window?
Yes, it asks whether the problem happened within the last six years, which aligns with FINRA's general eligibility rule and surfaces a potential time-bar issue before you schedule time.
What happens if someone wants to sue in court instead of using FINRA arbitration?
The intake asks directly whether the person is willing to pursue FINRA arbitration or mediation, so a court-only preference is flagged separately even though the underlying loss and broker details are still recorded.
Can the intake handle a representative filing on behalf of an investor?
Yes, one of the qualifying questions specifically covers whether the person is the investor or their authorized representative, so proxy filings are captured rather than treated as ineligible.
What documents does the intake collect before the consultation?
It requests account statements showing the disputed activity and any broker or advisor correspondence, so the reviewing attorney has documentation to assess before the first call.
Turn finra enforcement and arbitration visitors into qualified cases
Give every finra enforcement and arbitration visitor a guided intake instead of a dead contact form — and get a scored, qualified lead before you book a consultation.