Finra Dispute Resolution Inc
- Assets
- $0.0
- Revenue
- $41.9m
- Investments
- $0.0
- Employees
- 146
- Location
- Washington, DC
- Founding
- Data as of
- 12/2015
- EIN
- 52-2187577
Organization Overview
Finra Dispute Resolution Inc is located in Washington, DC. As of 12/2015, Finra Dispute Resolution Inc employed 146 individuals. Finra Dispute Resolution Inc is a 501(c)(6) and as such, is described as a "Business League, Chambers of Commerce, or Real Estate Board" by the IRS.
Form
990
Mission & Program ActivityExcerpts From the 990 Filing
TAX YEAR
2015
Describe the Organization's Mission:
Part 3 - Line 1
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Describe the Organization's Program Activity:
Part 3 - Line 4a
SEE SCHEDULE O
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PDF Copies of 990 Filings
Board, Officers & Key Employees
| Name (title) | Role | Hours | Compensation |
|---|---|---|---|
W Dennis Ferguson Chair, Reg Policy Cmte Part-Yr | Trustee | 3 | $0 |
Elisse B Walter Chair, Reg Policy Cmte Part-Yr | Trustee | 3 | $0 |
Kevin Carreno Regulatory Policy Cmte Part-Yr | Trustee | 2 | $0 |
Mark S Casady Regulatory Policy Cmte Part-Yr | Trustee | 2 | $0 |
Mark W Cresap Regulatory Policy Cmte Part-Yr | Trustee | 2 | $0 |
Gregory J Fleming Regulatory Policy Committee | Trustee | 2 | $0 |
Outside Vendors & Contractors
| Vendor Name (Service) | Service Year | Compensation |
|---|---|---|
Robert Herschman Arb / Med Services | 12/30/15 | $487,225 |
Howard Teschler Arb / Med Services | 12/30/15 | $323,709 |
James Yellen Arb / Med Services | 12/30/15 | $240,282 |
Roth Staffing Companies Consulting Svc | 12/30/15 | $189,380 |
Howard Eilen Arb / Med Services | 12/30/15 | $180,923 |
View All Vendors
Financial Statements
| Statement of Revenue | |
|---|---|
| Federated campaigns | $0 |
| Membership dues | $0 |
| Fundraising events | $0 |
| Related organizations | $0 |
| Government grants | $0 |
| All other contributions, gifts, grants, and similar amounts not included above | $0 |
| Noncash contributions included in lines 1a–1f | $0 |
| Total Revenue from Contributions, Gifts, Grants & Similar | $0 |
| Total Program Service Revenue | $41,755,571 |
| Investment income | $0 |
| Tax Exempt Bond Proceeds | $0 |
| Royalties | $139,816 |
| Net Rental Income | $0 |
| Net Gain/Loss on Asset Sales | $0 |
| Net Income from Fundraising Events | $0 |
| Net Income from Gaming Activities | $0 |
| Net Income from Sales of Inventory | $0 |
| Miscellaneous Revenue | $0 |
| Total Revenue | $41,918,620 |
| Statement of Expenses | |
|---|---|
| Grants and other assistance to domestic organizations and domestic governments. | $0 |
| Grants and other assistance to domestic individuals. | $0 |
| Grants and other assistance to Foreign Orgs/Individuals | $0 |
| Benefits paid to or for members | $0 |
| Compensation of current officers, directors, key employees. | $1,528,119 |
| Compensation of current officers, directors, key employees. | $0 |
| Compensation to disqualified persons | $0 |
| Other salaries and wages | $12,140,614 |
| Pension plan accruals and contributions | $2,524,403 |
| Other employee benefits | $1,814,695 |
| Payroll taxes | $993,187 |
| Fees for services: Management | $60,188 |
| Fees for services: Legal | $100,784 |
| Fees for services: Accounting | $0 |
| Fees for services: Lobbying | $0 |
| Fees for services: Fundraising | $0 |
| Fees for services: Investment Management | $0 |
| Fees for services: Other | $8,261,292 |
| Advertising and promotion | $0 |
| Office expenses | $943,031 |
| Information technology | $31,423 |
| Royalties | $0 |
| Occupancy | $3,328,384 |
| Travel | $919,899 |
| Payments of travel or entertainment expenses for any federal, state, or local public officials | $0 |
| Conferences, conventions, and meetings | $1,451,310 |
| Interest | $0 |
| Payments to affiliates | $0 |
| Depreciation, depletion, and amortization | $127,297 |
| Insurance | $0 |
| All other expenses | $14,443 |
| Total functional expenses | $44,204,836 |
| Balance Sheet | |
|---|---|
| Cash—non-interest-bearing | $0 |
| Savings and temporary cash investments | $0 |
| Pledges and grants receivable | $0 |
| Accounts receivable, net | $0 |
| Loans from Officers, Directors, or Controlling Persons | $0 |
| Loans from Disqualified Persons | $0 |
| Notes and loans receivable | $0 |
| Inventories for sale or use | $0 |
| Prepaid expenses and deferred charges | $0 |
| Net Land, buildings, and equipment | $0 |
| Investments—publicly traded securities | $0 |
| Investments—other securities | $0 |
| Investments—program-related | $0 |
| Intangible assets | $0 |
| Other assets | $0 |
| Total assets | $0 |
| Accounts payable and accrued expenses | $0 |
| Grants payable | $0 |
| Deferred revenue | $0 |
| Tax-exempt bond liabilities | $0 |
| Escrow or custodial account liability | $0 |
| Loans and other payables to any current Officer, Director, or Controlling Person | $0 |
| Secured mortgages and notes payable | $0 |
| Unsecured mortgages and notes payable | $0 |
| Other liabilities | $0 |
| Total liabilities | $0 |
| Unrestricted restricted net Assets | $0 |
| Temporarily restricted net Assets | $0 |
| Permanently restricted net Assets or current funds | $0 |
| Capital stock or trust principal, or current funds | $0 |
| Paid-in or capital surplus, or land, building, or equipment fund | $0 |
| Total net assets or fund balances | $0 |