NASD Arbitration Department

      Handling over 6,000 arbitrations a year, the arbitration department of the National Association of Securities Dealers, Inc., is the largest securities arbitration forum in the country. The NASD conducts customer arbitrations in the city closest to the location of the customer's address at the time of the events, typically in one of its own offices.

      All NASD arbitrations are conducted pursuant to its Code of Arbitration Procedure. The NASD also maintains its own home page.

      NASD Arbitrations are conducted by NASDR, Inc. The addresses of the regional and satellite offices which administer arbitrations, and the cities hin which hearings can be held,  are as follows:

      New York
      NASD Regulation, Inc.
      125 Broad Street, 36th Floor
      New York, NY 10004-2193
      (212) 858-4400
      Fax: (212) 858-3974
      Elizabeth Clancy, Regional Director
      Hearings Locations:
      Albany, NY; Atlanta, GA; Baltimore, MD; Boston, MA; Buffalo, NY; Charlotte, NC; Cinncinati, OH; Cleveland, OH; Columbus, OH; Louisville, KY; New York, NY; Norfolk, VA; Philadelphia, PA; Pittsburgh, PA; Raleigh, NC; Richmond, VA; Washington, DC.

      Washington, DC - Satellite Office
      NASD Regulation, Inc.
      1735 K Street, NW
      Washington, DC 20006
      (202) 728-8958
      Fax: (202) 728-6952

      California
      NASD Regulation, Inc.
      525 Market St., Suite 300
      San Francisco, CA 94105
      (415) 882-1234
      Fax: (415) 546-6990
      Judith Hale Norris, Regional Director
      Hearings Locations:
      Anchorage, AK; Honolulu, HI; Las Vegas, NV; Los Angeles, CA; Portland, OR; Salt Lake City, UT; San Diego, CA; San Francisco, CA; Seattle, WA.

      Los Angeles - Satellite Office
      NASD Regulation, Inc.
      300 S. Grand Avenue, Suite 1620
      Los Angeles, CA 90071
      (213) 613-2680
      Fax: (213) 613-2677

      Florida
      NASD Regulation, Inc.
      515 E. Las Olas Blvd., Suite 1100
      Fort Lauderdale, FL 33301
      (954) 522-7391
      Fax: (954) 522-7403
      Rose Schindler, Regional Director
      Hearings Locations:
      Fort Lauderdale, FL; Tampa, FL.

      Illinois
      NASD Regulation, Inc.
      10 S. LaSalle St., Suite 1110
      Chicago, IL 60603-1002
      (312) 899-4440
      Fax: (312) 236-9239
      John Barlow, Regional Director
      Hearings Locations:
      Albuquerque, NM; Chicago, IL; Dallas, TX; Detroit, MI; Denver, CO; Houston, TX; Indianapolis, IN; Kansas City, MO; Little Rock, AR; Memphis, TN; Milwaukee, WI; Minneapolis, MN; Nashville, TN; New Orleans, LA; Oklahoma City, OK; Omaha, NE; Phoenix, AZ; St. Louis, MO.

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