Can a case be settled prior to the arbitration hearing?

Yes. A matter can be resolved by the parties at any time prior to (or during) the FINRA arbitration hearing. There is no requirement that the parties must proceed with the arbitration hearing if they reach a settlement. Often times, disputing parties will attend mediation where they engage the services of a trained, impartial mediator to assist the parties in finding a mutually agreeable solution. Mediation is a voluntary process.

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