National Association of Securities Dealers (NASD) Links

• The NASD Home Page
• Arbitration Awards Online
  
• BrokerCheck - Check the Background of Your Investment Professional
  
• Dispute Resolution Program
• District Offices
• Frequently Asked Questions About NASD
• How to File a Complaint with NASD
  
• Interpretive Letters
• Investor Education
• Investor Newsletter
• Investor Services
• Monthly Summary of NASD Disciplinary Actions
• NASD Code of Arbitration Procedure (Effective for Cases Filed Prior to April 16, 2007)
• NASD New Code of Arbitration Procedure (Effective for Cases Filed After April 16, 2007)
  
• Notices to Members
• The National Association of Securities Dealers Regulation, Inc. (NASDR) Home Page
• NASDR Dispute Resolution (NASDADR) Home Page
• Understanding Investment Professional Designations

Securities and Exchange Commission (SEC) Links

• SEC Home Page
• Compliance Guide to the Registration and Regulation of Brokers and Dealers
• Division of Enforcement
• Division of Market Regulation
• Evaluating Brokers and Advisors
• Enforcement Actions
• Financial Facts Tool Kit
• Investment Adviser Public Disclosure
• Investor Alerts
• Litigation Releases
• News Digest
• Questions to Ask Your Broker or Advisor
• Selecting a Broker, Choosing an Initial Investment, and Addressing Investment Problems
• Trading Suspensions Imposed by the SEC

Other Government Sites

• Budget of the United States Government, 2004
• Commodity Futures Trading Commission (CFTC) Home Page
• CyberCrime Home Page (U.S. Dept of Justice)
• FBI Internet Fraud Complaint Center
• FBI on Securities Fraud
• Federal Reserve Board Selected Interest Rates
• Federal Trade Commission (FTC) Home Page
• Investor Info (CA Dept of Corporations)
• Scams and Frauds (FCIC)
• Seniors Against Investment Fraud (SAIF) (CA Dept of Corporations)
• Small Business Administration (SBA)
• Top Ten Dot Cons: Investments (Federal Trade Commission)

Organizations and Businesses

• 10K Wizard: Search SEC EDGAR Filings
• American Arbitration Association Home Page
• American Association of Retired Persons (AARP)
• Bloomberg.com
• Certified Financial Planner Board of Standards
• CyberSecuritiesLaw.com
• Dow Jones Home Page
• EDGAR Online Home Page
• Financial Literacy 2010 (FL2010)
• Financial Planning Association (FPA)
• Interquote Home Page
• Investing Online Resource Center (IORC)
• Investment Dealers Association (IDA) of Canada
• Investor Protection Trust (IPT) Home Page
• National Conference of Commissioners on Uniform State Laws (NCCUSL)
• National Fraud Information Center (Fraud.org) Home Page
• National Futures Association Home Page
• National White Collar Crime Center (NW3C)
• North American Securities Administrators Association (NASAA) Home Page
• Public Investors Arbitration Bar Association (PIABA)
• Quote.com Home Page
• Securities Industry Association (SIA)
• Securities Industry/Regulatory Council on Continuing Education
• Securities Investor Protection Corporation (SIPC)
• SecuritiesSleuth Home Page
• Standard and Poor's Home Page
• The Securities Law Home Page (SECLaw.com)

Articles, Reference Sites, and Additional Resources

• American Law Sources Online (Lawsource.com)
• Characteristics and Risks of Standardized Options (.pdf file)
• Complaint Against Jack Grubman of Salomon Smith Barney
• Directory of State Securities Administrators
• Equity Options Strategy Guide (.pdf file)
• Gary Goodenow Presents Reality at the SEC
• Global Securities Information, Inc. (GSI) Home Page
• Historical [Stock] Prices Search (Yahoo Finance)
• Motley Fool: How to Avoid Securities Fraud
• Recently Filed Securities Class Actions (EndFraud.com)
• The Securities Lawyer's Deskbook (Univ of Cincinnati)
• Taxes and Investing: A Guide for the Individual Investor (Ernst & Young .pdf file)
• The Typology of Financial Scandals
• Univ of Cincinnati Center for Corporate Law
• Univ of MD School of Law, Thurgood Marshall Law Library

Please feel free to give us a call at (858) 259-7790 or contact us online.