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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.

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.

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