Subject: Trading - NASD Public Disclosure Hotline

Last-Revised: 15 Aug 1993
Contributed-By: vkochend at, yozzo at

The number for the NASD Public Disclosure Hotline is (800) 289-9999. They will send you information about cases in which a broker was found guilty of violating the law.

I believe that the information that the NASD provides has been enhanced to include pending cases. In the past, they could only mention cases in which the security dealer was found guilty. (Of course, "enhanced" is in the eye of the beholder.)

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