Investor Arbitration

When an investor's losses result from unsuitable recommendations, fraud, or other misconduct or misbehavior by a stockbroker, rather than simply the luck of the market, binding investor arbitration sponsored by the securities industry is often the best way to recover the losses. We work with investors in arbitrations all over the country, and would be happy to provide you with a free nationwide consultation .

Forums for binding investor arbitration with stock brokers are sponsored by, among others, the securities exchanges, the American Arbitration Association, and the National Association of Securities Dealers (now renamed the Financial Industry Regulatory Authority (FINRA). Investors are often required by the contracts they sign with their stockbrokers to submit disputes with those brokers to such arbitration. Even in the absence of contractual provisions, investors may still submit such a dispute to arbitration. If they do so, the rules of the National Association of Securities Dealers require that its member stockbrokers submit to the investor arbitration process as well.

In an apparent effort to disguise the fact that the fox is still in charge of the chicken coop, the National Association of Securities Dealers (NASD) has renamed itself the Financial Industry Regulatory Authority (FINRA). Until I get around to revising all the references at this site (and fixing the broken links that went to the NASD's old website), please note the change so you won't become hopelessly confused.

About Investor Arbitration

How We Can Help

Other Resources

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 sponsors investor arbitration.
NASD Code of Arbitration Procedure -- procedural rules for NASD investor arbitrations from NASD manual.
NASD Dispute Resolution Publications -- information from the NASD about the process of investor arbitration.
NASD District Offices -- contact the office nearest you, or just find out where it is. Investor arbitrations are generally heard at the office nearest the investor.
NASD Manual -- the rules that apply to stockbroker members, including investor arbitration 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 Recovery Center -- our other website for investors has additional information about investor arbitration.
Law Office of Vincent DiCarlo -- our law office website.

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

DISCLAIMER: The information at this site is provided as a public service concerning investor arbitration. 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.