Helpful Forms and Information

FAQs- Frequently Asked Questions

Arbitration and Mediation Timelines

Simplified Arbitration Timeline

Dos and Don’ts – How to Assist Us in Handling Your Claim

Detailed Questionnaire

Printable Directions to Our Office

Items You May Be Required to Produce

FINRA Fee Waiver Information

Blank Authorization

Securities Resources Links

NASDAQ

The world’s largest electronic stock market.

New York Stock Exchange

Web site for the New York Stock Exchange.

Securities and Exchange Commission

The primary mission of the US Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets.

EDGAR (database of SEC filings)

All foreign and domestic companies are required to file registration statements, periodic reports and other forms electronically through EDGAR. Anyone can access this information for free. Instructions for searching the EDGAR database are available on this site.

Reuters

Investment and financial news from Reuters.

Federal Trade Commission

A federal agency that works to protect consumers and maintain a competitive marketplace.

Financial Industry Regulatory Authority

The Financial Industry Regulatory Authority (FINRA) is the successor to the NASD. It is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.

How to become an Arbitrator

The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties. Most anyone with any business experience can qualify to become an Arbitrator. You will join a group of dedicated individuals serving the investing public and the securities industry.