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Investor Recovery Center
 Sacramento law office:  litigation, business law, and arbitration
Nationwide Toll Free:
(800) 699-2728
Sponsored by the
Law Office of Vincent DiCarlo

Email: vdicarlo@dicarlolaw.com

Will FINRA (formerly known as NASD) Help Me?

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The Financial Industry Regulatory Association, usually called FINRA, which was formerly known as the National Association of Securities Dealers, and usually called the NASD, is a national organization of licensed stock brokerage firms.  FINRA is a registered self regulatory organization that is charged by law with the regulation and oversight of its member stockbrokers, which include virtually all of the registered securities broker-dealers in the United States.  FINRA administers a forum for arbitrations to decide claims that investors can bring against stockbrokers who have been guilty of fraud or misconduct.

FINRA's staff will not usually help you to get your money back when your stockbroker has been guilty of fraud or misconduct.  While you can file a complaint with the FINRA's enforcement staff, the regulatory arm of FINRA is mainly concerned with punishing and preventing violations of its rules, not with helping particular investors.  The arbitration arm of FINRA does provide a forum in which arbitrations filed by customers of its members can be heard, but the staff of FINRA will not act as your lawyer, advisor, or attorney, and will not help you to draft, file, pursue, and present your claim.

If you to wish recover your losses , you must file a claim, either on your own or with the help of an attorney or lawyer, preferably one who is experienced with representing investors and conducting investment arbitrations before FINRA. There are many such lawyers who are willing to give you a free consultation without any obligation, including the one who sponsors this site. You can reach us by calling the telephone number at the top of this page or by clicking one of the email links .

You can learn more about how investors can recover losses resulting from broker fraud or misconduct by starting at our home page .


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For more information or a free consultation, call us toll free nationwide at 800-699-2728 or e-mail us at vdicarlo@dicarlolaw.com

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
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