Call Now For a Free Consultation:
(614) 502-6165

Documents Needed

Consult with Our Legal Team
There is never a cost associated with a consultation
Common Questions
For The Advocacy You Deserve Contact Us Today!
We’ll respond and let you know the best way to proceed with your case.

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.

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.

Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
Read More
crosschevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram