Government and Regulatory Links

United States Securities & Exchange Commission
450 Fifth Street, N.W.
Washington, D.C. 20549
202-942-8088 Main Number
202-942-7040 Public Complaints
202-942-4530 Enforcement
202-942-2900 General Counsel

Federal Information Center

Commodities Futures Trading Commission
1155 21st Street, N.W.
Washington, D.C. 20581
202-418-5000 Main Number
202-418-5250 Office of Proceedings & Reparations
202-418-5320 Division of Enforcement
202-418-5120 General Counsel

New York State Attorney General's Office
Bureau of Investor Protection
120 Broadway, 23rd Floor
New York, New York 10271
1-800-771-7755 Consumer Fraud
NY District Attorney

Self-Regulatory Links

Financial Industry Regulatory Authority
One Liberty Plaza
165 Broadway 27th Floor
New York, New York 10006
Phone (212) 858-4200
Fax (301) 527-4873

New York Stock Exchange
11 Wall Street
New York, New York 10005
212-656-3000 Main Number
212-656-3757 Public Complaints
212-656-2772 Arbitration
202-656-2222 General Counsel

American Stock Exchange
86 Trinity Place
New York, New York 10006
212-306-1000 Main Number
212-306-1634 Public Complaints
212-306-1414 Arbitration
202-306-1400 General Counsel

Municipal Securities Rulemaking Board
1150 18th Street, N.W., Suite 400
Washington, D.C. 20036 202) 223-9347 Main Number

Other Exchanges:
Chicago Board of Trade
Chicago Board Option Exchange
Chicago Mercantile Exchange
Chicago Stock Exchange
Pacific Stock Exchange

Industry Associations

North American Securities Administrators Association
1 Massachusetts, N.W., Suite 310
Washington, D.C. 20001
202-737-0900 Main Number
202-737-0900 Public Complaints
212-737-0900 General Counsel
1-888-884-NASAA State-by-State Regulators

Securities Industry Association
120 Broadway, 35th Floor
New York, NY 10271-0080

National Futures Association
200 West Madison, Suite 1400
Chicago, Illinois 60606
800-676-4632 Main Number

Certified Financial Planners Board of Standards
1700 Broadway
Denver Colorado 80290-2101
1-800-237-6275 Main Number

National Association of Personal Financial Advisors

Financial Planning Association

Options Industry Council

National Association of Securities Professionals

Other Industry Participants

American Arbitration Association
140 West 51st Street
New York, New York 10020
212-484-4000 Main Number

AARP American Association of Retired Persons
601 E St., NW
Washington, DC 20049
Phone: 1-800-424-3410

Securities Investor Protection Corporation (SIPC)
805 15th Street, N.W., Suite 800
Washington, D.C. 20005
212-371-8300 Main Number

Directory of Websites

Better Business Bureau

Financial Accounting Board of Standards

Clearing Agencies

Depository Trust Company

National Securities Clearing Corp

Current & Historical Financial Statements
(searches edgar)

Current & Historical Pricing

Stock Quotes

Bond Pricing

Commodities Quotes

Mutual Fund Quotes

Intraday NASDAQ Quotes Options Pricing

Current & Historical Ratings

Current & Historical News

Financial Search Engines

Arbitration Decisions

Regulatory Decisions

Industry Investigative Service


Other Governmental Sites



Federal Reserve Board

Federal Trade Commission

General Accounting Office

Internal Revenue Service

Legal Services


White House


State Department

House of Representatives

NYS Assembly

Employment Links

US Equal Employment Opportunities Commissions (EEOC)
1801 L Street, NW
Washington, DC 20507

US Department of Labor
Workers' Compensation
1-800-347-1997 General Information
Unemployment Insurance
Women's Bureau

Bureau of Labor Statistics

NYS Attorney General
Human Rights Division
212-306-7500 General
212-306-7686 Discrimination
212-No2BIAS Bias Complaints
Equal Employment Practices Commission

Department of Labor

NYC Human Rights Division
40 Rector Street
New York, New York
(click on Human Rights Division in Agency List)
Human Resources Training

Sites for Women in Business

Nat. Organization for Women

NYS Division for Women
NYS Human Rights Division
Sex Harassment Hotline
NYC Commission on the Status of Women

NY Women's Bar Association

Client Reviews
The Lax & Neville team were total professionals in handling our case. They've clearly had quite a bit of experience handling complex legal matters in many jurisdictions and courts. I was impressed with their professionalism coupled with persistence in arguing a very complete and well-structured case. I highly recommend their services. Anonymous
I am very, very happy with the outcome of my case and my experience with Lax Neville could not have been better. The entire team of attorneys and staff are real professionals, they always had time to answer my many questions about my case. I was treated with compassion and respect. I am so grateful I chose to work with Lax Neville. Anonymous
This is an official " thank you" for all your hard work. It really was a pleasure to have you represent me, and I enjoyed seeing you, Rush and Sandra in action. I think Lax and Neville epitomizes the phrase "quality vs quantity". I think I told you before that I spent a lot of time researching firms; in this case things worked out, I picked the best firm. I hope I never need your services in the future, but if I do I know I found the best attorneys for these types of legal issues. Anonymous
What transpired at the [redacted] was nothing less than a truly masterful and exceptional experience regarding your intelligence, professionalism, preparedness for my case, teamwork and erudite knowledge pertaining to Securities Law, FINRA and the SEC. The facility and ease of how the case was handled, the systematic questioning of all the witnesses to obtain the facts necessary to prove our case, the preparation of the critically conclusive information and documents, the commanding coup de gras closing argument and your tireless consideration and respect for the Panel and [redacted] was, is and will continue to epitomize my feelings and conclusion that what transpired over those long three days was nothing less than raw and unabashed brilliance. Anonymous
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