Resources

The resources listed below are not a complete list, are not part of this site, and may not be accurate or up to date, but may prove helpful:

• The Securities and Exchange Commission -- The federal regulatory agency for the securities business, including stockbrokers.
• The National Association of Securities Dealers Dispute Resolution -- The dispute resolution arm of the self regulatory organization for stockbrokers in the United States. Information about arbitration and mediation.
• NASD Stockbroker Database -- Find out if a broker or firm is registered and get a copy of its publicly available information about customer complaints and regulatory actions.
• NASDR Arbitration Awards Database -- Browse through previous awards. Find a particular award if you know the docket number or the month it was issued.
• NASD Code of Arbitration Procedure -- Procedural rules for NASD stockbroker arbitrations from NASD manual.
• NASD Dispute Resolution Publications -- Information from the NASD about the process of broker arbitration.
• NASD District Offices -- Contact the office nearest you, or just find out where it is.
• NASD Hearing Locations -- If you file an NASD arbitration, your case will normally be heard in the one that is closest to where you lived at the time of the events in question.
  
• NASD Manual -- The rules that apply to stockbroker members, including investor protection rules.
• The Commodities Futures Trading Commission -- Regulates commodities futures.
• National Futures Association -- Association of commodities futures brokers.
• Chicago Board Options Exchange -- Exchange and self regulatory organization for options contracts.
• Directory of state securities regulators -- Contact information for all 50 states.
• Investor Arbitration Information -- Another website that I sponsor with information about investor arbitrations
• Law Office of Vincent DiCarlo -- Our law office 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 10, 2006
Copyright © 1999-2006 Vincent DiCarlo