Public records

Build a draft from the record.

Prepare factual material for review. Legal claims, liability, and the amount demanded remain labeled blanks for counsel.

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Draft a demand

Before you begin

Optional questions to prepare for a clinic conversation. Requirements and exceptions vary by clinic; these questions do not decide whether a clinic can accept a matter. There are no personal answers to submit here.

What is your household’s annual income?
A clinic may consider household income when deciding whom it can help.
How much money would you seek to recover?
A clinic may limit the size of claims it handles; an estimate is for discussion with counsel.
What assets do you own?
Ask which savings, investments, and property the clinic counts and which it leaves out.
Where do you live, and where did you live during the disputed activity?
A clinic may serve particular areas or consider where you lived when the events occurred.
Was the firm acting as a broker-dealer, an investment adviser, or both?
Clinics differ in the matters they handle; adviser registration alone does not establish broker registration.
When was the last transaction, and when did the disputed events occur?
Dates help counsel examine deadlines; the last transaction alone does not establish them.

About timing. FINRA Rule 12206 generally sets a six-year arbitration eligibility period measured from the occurrence or event giving rise to the claim, not necessarily the last transaction. This is separate from statutes of limitation and does not extend them. Counsel must check the relevant facts and applicable time limits; this page does not determine whether any deadline has passed.

Background: Pace’s clinic guidelines (PDF) · SEC explanation of Rule 12206 (PDF). Check each clinic’s current requirements in the clinic directory.

Try it with a fictional case No personal records needed. Opens separately if you have a file or draft in progress.

What to bring for this kind of matter

Keep these documents for review with counsel. This checklist is optional; it does not change what you can do in the form below.

Kind of matter

Monthly account statements for the period under review.
Trade confirmations.
New-account form and investment-profile information.
Customer agreement.
Correspondence with the firm or representative.
Marketing materials and written recommendations.

Discovery — documents typically exchanged in a FINRA customer case

Typical topics from the Discovery Guide, summarized for preparation. This is not a complete production list or a demand. Counsel must confirm which Guide provisions apply, the relevant periods, objections, and confidentiality protections.

Confirm the current Discovery Guide lists on finra.org — this page does not fetch them.

Tick a topic to mark it for your own follow-up. Ticks stay in this tab only and reset when you reload. They do not record receipt, completeness, or production, and are not sent with a draft.

Customer-side records to review Tax returns and records of assets, debts, and net worth. Account agreements, profile information, statements, and trade confirmations, including other investment accounts where relevant. Letters, emails, personal notes, and records of conversations about the accounts or transactions. Investment research, offering materials, and records of the customer's investment decisions. Account calculations and reconciliations prepared for the customer. Relevant prior securities disputes and records obtained from third parties.

Firm-side records to review Account-opening documents, investment profiles, agreements, and trading authorizations. Customer communications, representative notes, and available call records. Investment recommendations, sales materials, research, and product information. Supervisory reviews, exception reports, and relevant procedures or manuals. Relevant complaint, disciplinary, and regulatory records, subject to applicable limits and redactions. Compensation and commission records connected to the transactions or accounts.

Account statements and confirmations may need a separate request. Counsel should check the Guide's treatment of each category. For product cases, additional topics can include product development, due diligence, training, marketing, and later product review.

Use your browser's Print command while on Demand letter to print this checklist with its ticks, even when collapsed. Files and drafts are left out.

Background: SEC 2010 list proposal, 2011 approval with amendments, and 2013 product-case guidance. Historical sources; check the current Guide before use.

Provide a firm number, a trade file, or both. Returned purchases may be a limited subset of the account. Review the records before using the draft.