Complaint Form - Arizona Corporation Commission (Page 2 of 5) in pdf

Complaint Form - Arizona Corporation Commission Page 2

suffered monetary loss, you should consider contacting a private attorney to discuss your legal rights and

remedies under the Arizona Securities Act or other statutes. If you do not have a private attorney, the

County Bar Association's Lawyer Referral Service may be consulted or the local Legal Aid Society may

be able to assist you.

The United States Securities and Exchange Commission (SEC) has approved certain arbitration

procedures for resolution of disputes between investors and broker/dealers. Arbitration is a method of

having a dispute between two or more parties resolved by an impartial person who is knowledgeable in

the areas of controversy. That person is known as an arbitrator. Disputes between an investor and a

broker/dealer often involve complicated issues that, in the interest of fairness, require a prompt and

inexpensive means of resolution. Because of this, arbitration has long been used as an alternative to the

courts. Once the arbitrator has made a decision, the decision is final and is subject to review by a court

only on a very limited basis. Also, if arbitration is chosen as a means of resolving a dispute, the

complaining party gives up the right to pursue the matter through the courts.

If you are interested in learning more about the arbitration process, you can contact the National

Association of Securities Dealers (NASD) or the Exchange which your broker/dealer is a member. The

addresses for the New York Stock Exchange and the NASD are:

New York Stock Exchange

11 Wall Street

New York, New York 10005

Telephone: (212) 656-2096

Director of Arbitration

National Association of Securities Dealers, Inc.

10 South LaSalle Street, 20th Floor

Chicago, IL 60603-1002

Telephone: (312) 899-4440

This document and the complaint form are available in alternative formats by contacting Yvonne L.

McFarlin, Executive Assistant to the Executive Secretary, voice phone number 602-542-3931, E-mail

ymcfarlin@cc.state.az.us

REV. 1/13/04

Complaint Form - Arizona Corporation Commission Page 2