Investor Arbitration

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).

About Investor Arbitration

• Advantages and Disadvantages of Investor Arbitration
• Types of Cases Commonly Arbitrated
• Time Limits for  Making Investor Arbitration Claims
• Remedies and Damages
• How FINRA (formerly NASD) Investor Arbitration Works
• How Much Investor Arbitration Costs
• Commodities Futures and Option Contracts

How We Can Help

• Our resume
• How we can help

Other Resources

• The Securities and Exchange Commission -- the federal regulatory agency for the securities business, including stockbrokers.
• FINRA (formerly NASD) Dispute Resolution -- the dispute resolution arm of the self regulatory organization for stockbrokers in the United States sponsors investor arbitration.
• FINRA (formerly NASD) Code of Arbitration Procedure -- procedural rules for FINRA (formerly NASD) investor arbitrations from FINRA (formerly NASD) manual.
• FINRA (formerly NASD) Dispute Resolution Publications -- information from the FINRA (formerly NASD) about the process of investor arbitration.
• FINRA (formerly 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.
  
• FINRA (formerly 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.

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