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: Vincent DiCarlo, who authored and maintained this site, has entered government service and, as of September 1, 2008, is no longer engaged in the private practice of law.  Therefore, this site is no longer being maintained,  may not be accurate, and should not be relied upon.  It is not now and was not ever intended as legal advice.  It is being provided for historical purposes, and for the benefit of those lawyers who are capable of independently verifying the information and judging the opinions in it, and then reaching their own conclusions.  You are strongly advised to consult qualified 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, and may no longer be accurate or prudent in any case.  The opinions and statements at this site were solely those of the author.  They were not and are not those of, nor were they nor are they made on behalf of, any agency of government or anyone else.

Copyright © 1998-2008 Vincent DiCarlo