On-line Resources

Financial Industry Regulatory Authority (FINRA)
FINRA is the largest independent regulator for all securities firms doing business in the United States. We oversee nearly 5,000 brokerage firms, 172,000 branch offices and 665,000 registered securities representatives. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.

FINRA Arbitration and Mediation
FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives.

FINRA Arbitration Statistics
Although no arbitration result can be predicted or guaranteed, the FINRA does maintain a compilation of the results of the cases filed through their Dispute Resolution forum. Take a look at how arbitration fairs for harmed investors.

New York Stock Exchange
The NYSE is the world's leading and most technologically advanced equities market. A broad spectrum of market participants, including listed companies, individual investors, institutional investors and member firms, create the NYSE market.

U.S. Securities and Exchange Commission
The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets. As more and more first-time investors turn to the markets to help secure their futures, pay for homes, and send children to college, these goals are more compelling than ever.

Public Investors Arbitration Bar Association
The mission of PIABA is to promote the interests of the public investor in securities and commodities arbitration by protecting public investors from abuses in the arbitration process, such as those associated with document production and discovery; making securities and commodities arbitration as just and fair as systematically possible; and creating a level playing field for the public investor in securities and commodities arbitration.

North American Securities Administrators Association
Listing of State Securities Commissioners
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection.

Virginia State Corporation Commission
The SCC acts as one of Virginia's primary regulatory agencies, with oversight of varied business and economic interests throughout the Commonwetitleh. The SCC's authority encompasses utilities, insurance, state-chartered financial institutions, securities, retail franchising, and railroads. The Commission also serves as the Commonwetitleh's central filing office for corporations, limited partnerships, limited liability companies, business trusts, and Uniform Commercial Code filings.

American Bar Association
With more than 400,000 members, the ABA provides law school accreditation, continuing legal education, information about the law, programs to assist lawyers and judges in their work, and initiatives to improve the legal system for the public.

Virginia State Bar
The Virginia State Bar was created in 1938 by the General Assembly as an administrative agency of the Supreme Court of Virginia. The creation of the agency unified Virginia's lawyers in a mandatory State Bar .

Securities Litigation and Consulting Group
SLCG provides assistance in disputes over the suitability of investment recommendations, unauthorized or excessive trading and margin violations. SLCG analysts are experienced in the detailed examination of brokerage accounts and provide expert witness testimony in securities arbitration cases.

Copyright @ 2010 MichieHamlett