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:
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.