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https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.
https://www.finra.org/investors/learn-to-invest/choosing-investment-professional
A qualified investment professional can help you make sound investment decisions. Investment professionals include brokers, investment advisers and financial planners. The person or team of professionals you work with will depend on the type of financial help you seek. When you choose an investment professional, it always pays to Ask and Check.
https://ag.ny.gov/investor-protection/submit-complaint
The Attorney General’s Investor Protection Bureau investigates suspected fraud relating to the offer, sale, or purchase of securities, including stocks, bonds, and many other types of investments. The Bureau has the authority to commence legal actions on behalf of the public.
https://www.bbb.org/us/pa/philadelphia/profile/investment-management/professional-capital-services-llc-0241-236004718
Investment Management in Philadelphia, PA. ... Professional Capital Services, LLC Investment Management. ... Need to file a complaint? BBB is here to help. We’ll guide you through the process.
https://www.investor.gov/additional-resources/general-resources/glossary/complaints
The SEC’s Office of Investor Education and Advocacy (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional ...
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
How to File a Complaint with FINRA: You can use our online complaint form. You can print out a complaint form and mail or fax it to us. If you have a question about your investments or our rules, please contact us.. You also can forward spam or junk email recommending that …
http://www.vermont.gov/service/file-complaint-about-insurance-financial-or-investment-professional
File a complaint against an insurance agent or company; lender, money services professional, or mortgage broker; or an investment adviser representatives and broker-dealer agents. Department of Financial Regulation File a Complaint About an Insurance, Financial, or Investment Professional No
https://www.sec.gov/complaint/question.shtml
May 12, 2017 · If you have a problem with your investments, investment account, or a financial professional (examples are listed below), use our investor complaint form to provide us your information.. Order handling, trade execution, confirmations
https://www.usa.gov/complaint-letter
Use this sample complaint letter (.txt file) the next time you need to file a complaint. Are you unsure how to use it for your situation? Check out an example letter that used this format. To resolve the problem, I would appreciate your (state the specific action you want: money refunded, charge ...
https://njconsumeraffairs.state.nj.us/file-a-complaint/
Complaint regarding an investment or financial professional. New Car (Lemon Law) Complaint involving a defect in a new car within the first 2 years of ownership or 24,000 miles. New Car Consumer Brief: (English / Spanish) Used Car (Lemon Law) Complaint involving a defect in a used car up to 7 model years old. Used Car Consumer Brief: (English ...
https://www.njconsumeraffairs.gov/bos/Pages/File-a-Complaint.aspx
File a complaint regarding an investment or financial professional. ... File a complaint regarding an investment or financial professional.
http://www.rld.state.nm.us/securities-division/file-a-complaint.aspx
File A Complaint. The Securities Division is charged with enforcing state laws that protect investors from unfair and abusive practices by those who are in the business of giving investment advice or selling investment products.
https://www.maine.gov/pfr/consumer/complaints
To file a complaint against an individual or company, please refer to the agency which regulates the industry involved: Office of Professional and Occupational Regulation. Instructions on filing complaints against professionals licensed by Regulatory Boards or the Real Estate Commission. Bureau of Consumer Credit Protection
https://www.cfp.net/ethics/file-a-complaint
If you believe that a CFP® professional has violated the Standards of Professional Conduct and would like to report the alleged misconduct, you may submit a complaint form to CFP Board’s Professional Standards Department.
https://www.wdfi.org/fi/securities/enforcement/complaint.htm
Complaints & Enforcement. Topic Links ... Complaints about a broker-dealer or investment adviser are initially investigated by the staff of the Professional Registration and Compliance Bureau. If you would like to initiate a complaint against a registered broker-dealer, securities agent, investment adviser or investment adviser representative ...
https://www.centrepointalliance.com.au/complaints/
Alliance Wealth and Professional Investment ServicesIf you have a complaint about Centrepoint Alliance or one of our authorised representatives, we need to hear from...
https://www.consumer.ftc.gov/blog/2015/09/how-write-effective-complaint-letter
Sep 04, 2015 · A letter is important. It puts your complaint on record with the company, helps preserve any legal rights you may have in the situation, and lets the company know you’re serious about pursuing the complaint. Use this sample letter and these tips to write an effective complaint: Be clear and concise.
https://www.ksc.ks.gov/index.aspx?NID=108
Investment Professional Search Investment professionals are divided into two basic categories, brokers (agents) of a broker-dealer and investment adviser representatives of an investment adviser. The websites listed below offer information about these investment professionals that an investor might find helpful, such as: Civil judgments
https://www.maine.gov/pfr/professionallicensing/complaint.html
May 30, 2018 · The Office of Professional and Occupational Regulation ("OPOR") Complaint Unit responds to complaints filed by consumers against a licensed professional. An Electronic Complaint Reporting Form and Administrative Complaint Procedures have been developed. To view the procedures, click one of the links below. Real Estate Commission Administrative ...
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