We strongly recommend that, if you can afford to pay a lawyer by the hour or obtain a lawyer's services for a contingent fee, you do so.  However, if you can't get or don't want a lawyer's help, you have a claim against stockbroker or firm that is a member of the Financial Industry Regulatory Association (formerly known as the National Association of Securites Dealers), and you want to pursue your claim in a FINRA (formerly known as NASD) arbitration, rather than in court, you can get the forms you need from the office of dispute resolution at FINRA's New York regional office by calling 212-858-4200, or from any of their other district offices. Ask for the Uniform Filing Package for FINRA arbitrations.  You can also file a FINRA arbitration online.  One of the things you should get is a copy of the FINRA's Code of Arbitration Procedure, which is at section 10000 and following of the NASD Manual, and which you should read carefully. You should also read the other publications available at the NASD's website.

If you are representing yourself, you also may be able to get some free or cheap help from the arbitration clinics that are listed at the SEC's website.

DISCLAIMER: The information at this site is provided as a public service. It is not intended as legal advice and should not be relied upon. You are advised to consult legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation.
This page last updated on April 8, 2008
Copyright © 1999-2008 Vincent DiCarlo