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What types of documents do I need to provide if I pursue a claim against my broker in securities arbitration?

The vast majority of all disputes brought by a customer against a broker or brokerage firm are pursued through mandatory arbitration administered by the Financial Industry Regulatory Authority (FINRA).

As part of the arbitration process, FINRA rules generally require that customers produce the following documents to the opposing side as part of the “discovery” process:

  • Personal and business tax returns for the three years prior to the transaction mentioned in the claim
  • Financial statements showing your assets, liabilities and net worth for the last three years
  • Written correspondence to and from your broker and/or brokerage firm, including opening forms, account statements and confirmations
  • Account statements and confirmations from accounts held at other securities firms
  • Agreements and other signed documents relating to the account in question
  • Account analyses and reconciliations
  • Documentation of phone conversations

There are other documents that you might be required to provide, which should be discussed with an experienced stockbroker arbitration attorney. Your lawyer will be requesting numerous types of information and documents from broker or brokerage firm named as a Respondent in the arbitration matter.

Attorney Dave Meyer gives more information on gathering the necessary documents in this video.

Attorney Courtney Werning explains what happens to your documents once we receive them in the video below.

Our securities fraud attorneys are licensed in Ohio, California, and Michigan, and we represent investors nationwide in securities arbitration and litigation claims. For a free case evaluation, contact us by calling or filling out our online form.

Need More Information?

Investment misconduct can be complex and confusing. That’s why we’re here to help you. Visit our Common Questions page to find in depth answers directly from our attorneys. Get More Answers
Have You Been a Victim of Investment Fraud?

You trusted your financial advisor with your money, but now you're left wondering what went wrong. If you or a loved one suffered losses because of investment misconduct, Meyer Wilson can step in and fight to recover your losses. The team of investment fraud lawyers at the firm has been helping people like you since 1999 by winning judgments, settlements and verdicts worth hundreds of millions of dollars against brokerage firms, financial advisors and banks.

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