Securities Resources

This title includes: The Financial Industry Regulatory Authority (FINRA) Code of Arbitration Procedure, FINRA member conduct rules for brokers; relevant federal securities acts and the Uniform Securities Act. The complete text of each statute and rule is followed by expert commentary, practical suggestions, and references to interpretive materials and caselaw.
Westlaw (ID and password required)

Systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, and how to prepare and present cases to arbitration panels anywhere in the country. It includes new FINRA rules and procedures, negligent misrepresentation and breach of fiduciary duty cases, meeting the burden of proof, schemes and reflects best practices before arbitrators.
Lexis (ID and password required)
LexisNexis Digital (Access limited to NYLS community)

From sec.gov, the links will help locate an attorney who can assist resolving securities complaints.