1) Do you honestly believe that your loss was due to the negligence or intentional wrongdoing of a broker or firm?

2) Did the transaction(s) complained of occur within the past six years? If not, your claim may be barred by the SRO rule corresponding to Section 3 of the Uniform Code, unless there is tolling or you can clearly demonstrate active, fraudulent concealment.

3) Did you communicate (orally or in writing) with the firm and did you receive a response?

4) Did you have a liquid net worth and annual income sufficient to withstand the risks of the investment(s) at issue?

5) Are you complaining about the kind of transaction that you previously or subsequently engaged in at another firm?

6) What are the names of the other brokerage firms where you have had an account?

7) What information do the broker or the brokerage firm(s) have that would challenge your credibility if revealed during the course of the arbitration process?

8) Do you have most of the account documents necessary to support the allegations?

9) How active were you in directing the purchases and sales of investments in your account?

10) Has the investment complained of been the subject of a class actionor prior litigation? (NOTE: If you did not "Opt out" of a class action, your claim may only be brought in the class action and not in the arbitration).