The Following Information will be needed to begin a review of a potential Arbitration Claim involving a Public Customer and to Calculate Damages:
All monthly Account Statements of Claimant during disputed time frame of alleged wrongdoing on the part of the Broker Dealer and the Registered Agent.
All confirmations issued by the Broker Dealer relating to transactions entered in the account by the public customer and the Registered Agent.
All Research Reports and any Sales Literature received by the Public Customer any Solicitation's from the Member Firm , Dates of attendance at any Broker Dealer Sponsored Seminar's , Dates of any Telephone Solicitations, Names of Contacting Brokers and their Salesman. Any and All Correspondence from the Firm.
Copies of the Following Documents would be Very Helpful New Account Form, Margin Agreement, Customer Agreement , Options Agreement, Trust Documentation if Applicable, All Margin Calls.