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https://www.sec.gov/complaint/select.shtml
May 12, 2017 · Submit a matter to the Ombudsman if you have a concern about the SEC or a self-regulatory organization (SRO) the SEC oversees, or if you have a question about securities law and policy that you would like to discuss confidentially
https://sec.gov.gh/file-a-complaint/
Dec 18, 2018 · File a Complaint to the Securities and Exchange Commission Ghana - SEC Ghana. Please complete the online form for our action.
http://www.sec.gov.ph/lending-companies-and-financing-companies/complaints/
Endorse your complaint to other departments in the Commission, e.g., Enforcement and Investor Protection Department (EIPD), Markets and Securities Regulation Department (MSRD), etc. Furnish the financing company or lending company with a copy of your complaint for its answer/comment
https://www.usa.gov/federal-agencies/securities-and-exchange-commission
Securities and Exchange Commission. The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.
https://www.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-investor-complaints
Apr 19, 2017 · The copies may be emailed to [email protected], faxed to (202) 772-9295, or mailed to U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street, N.E., Washington, DC 20549-0213. OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint.
https://www.investopedia.com/terms/s/sec.asp
The Securities and Exchange Commission (SEC) is a U.S. government agency created by Congress to regulate the securities markets and protect investors.
https://corporate.findlaw.com/law-library/securities-and-exchange-commission-division-of-enforcement.html
Securities and Exchange Commission Division of Enforcement Complaint Center. Find out more about this topic, read articles and blogs or research legal issues, cases, and codes on FindLaw.com.
Home - Securities and Exchange Commission Ghana - SEC Ghana. Our mandate is to promote an efficient, fair and transparent securities market.
https://www.docketbird.com/court-documents/Securities-and-Exchange-Commission-v-Davis-et-al/ANSWER-to-Amended-Complaint-Petition-127-filed-by-Defendant-Charles-Nilosek/cacd-2:2018-cv-10481-00152
Securities and Exchange Commission v. Davis et al Central District of California, cacd-2:2018-cv-10481 ANSWER to Amended Complaint/Petition[127] filed by Defendant Charles Nilosek.
https://sec.gov.ng/rules-relating-to-the-complaints-management-framework-of-the-nigerian-capital-market/
4. The under listed complaints shall not be handled under the Complaint Management Framework of the Nigerian Capital Market:-(a) Complaints against private wound up and liquidated companies. (b) Complaints on matters that are sub-judice or in arbitration. (c) Complaints falling outside the purview of the Securities and Exchange Commission. 5.
https://www.peopleclaim.com/complaint-history/securities-and-exchange-commission-birmingham-al-199889
Complaint against Securities and Exchange Commission? View complaint history and get your dispute resolved quickly. No lawyers. No filing fees. 100% online. PeopleClaim.com
Welcome to the official Website of Securities & Exchange Commission of Pakistan (SECP)! Read information about Laws, Licensing, Enforcement and Islamic Finance etc.
https://www.cysec.gov.cy/en-GB/complaints/how-to-complain/
Please kindly note that the Cyprus Securities and Exchange Commission (the ‘CySEC’) does not have restitution powers and therefore does not investigate individual complaints.However all complaints submitted to the CySEC are taken into consideration by the CySEC in …
https://cdn.factcheck.org/UploadedFiles/Complaint.pdf
impose civil money penalties pursuant to Section 20(d) of the Securities Act and Section 21(d)(3) of the Exchange Act against defendants. 11. Pursuant to authority conferred upon the Commission by Sections I 0(b) and 23 (a) of the Exchange Act [15 U.S.C. §§ 78j(b) and 78w(a)], the Commission promulgated Rule l 0b-5 [17 C.F.R. §§ 240.10b-5].
http://asc.alabama.gov/complaints.aspx
PROCEDURE FOR FILING A COMPLAINT WITH THE ALABAMA SECURITIES COMMISSION. The ASC is responsible for regulating the securities industry in the State of Alabama. One of our main functions is to oversee the firms and individuals that engage in …
ABOUT SEC. The Securities and Exchange Commission, SEC is a Government Agency Mandated to Regulate and Develop the Nigerian Capital Market. More on sec
https://www.michigan.gov/lara/0,4601,7-154-89334_61343_32915---,00.html
Securities. The Michigan Uniform Securities Act (MUSA), 2008 PA 551, provides for the regulation of the securities industry in Michigan. The Securities & Audit Division oversees the registration of individuals and entities that provide investment-related advice to Michigan residents, the registration and exemption of products, and investigates complaints related to securities.
https://www.cysec.gov.cy/en-GB/complaints/
The Cyprus Securities and Exchange Commission (‘CySEC’) would like to inform the investors and the public at large that the domains that are included in the following List are not owned or operated by Cyprus Investment Firms (CIFs) which have been...
https://www.npr.org/documents/2004/enron/lay_sec_complaint.pdf
with the Commission pursuant to Section 12(b) of the Exchange Act and traded on the New York Stock Exchange. Because it was a public company, Enron and its directors, officers,
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