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https://www.sec.gov/oiea/Complaint.html
Investor Complaint Form. You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security. Please read our Privacy Act Notice to learn more about how we may use the information you send to us.
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://www.sonnlaw.com/faq/sec-complaints-filing-complaint-broker/
The SEC allows all members of the public to file a broker complaint electronically. To do so, you will need to use the official Securities and Exchange Commission Investor Complaint Form.
https://www.investor.gov/additional-resources/general-resources/glossary/complaints
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.
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
If you would like to provide the SEC with information about fraud or wrongdoing involving potential violations of the securities laws, which may include the conduct listed below, use the Tips, Complaints and Referrals Portal. See also further information about submitting a tip or complaint.Author: Craig Mcguire
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; Delivery of funds or securities; Dividends; Fees, commissions or mark-ups
Sep 20, 2017 · Theft or misappropriation of funds or securities; Manipulation of a security's price or volume ; Insider trading; False or misleading statements about a company (including false or misleading SEC reports or financial statements) Failure to file required reports with the SEC; Bribery of, or improper payments to, foreign officials
https://www.sec.gov/litigation/litreleases.shtml
39 rows · See also: SEC SEC Complaint against Gregory Lamont Drake, Stephen Kenneth …
The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC.
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.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-investor-complaints
Apr 19, 2017 · OIEA may refer an investor complaint to other Offices or Divisions within the SEC, including the Division of Enforcement. The Division of Enforcement generally conducts investigations on a confidential basis.
http://www.sec.gov.ph/lending-companies-and-financing-companies/complaints/
You may send an accomplished Complaint Form at [email protected], and attach a scanned copy of your valid government-issued I.D. and supporting evidence/documents such as disclosure statement, amortization schedule, receipts, promissory notes, and other relevant documents in connection with your loan transaction that will help us evaluate your complaint.
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
Other Types of Complaints: If you are unsure of what type of complaint you have and choose to file it with FINRA, we will evaluate the complaint and may pass it on to the appropriate regulator if it is not within FINRA's jurisdiction. Forwarding your complaint to other regulators may delay the process of …
https://www.cbsnews.com/news/5-things-to-know-about-the-secs-complaint-against-elon-musk/
Sep 28, 2018 · The SEC filed the complaint in federal court Thursday, alleging Musk misled investors when he tweeted on Aug. 7 that he had obtained funding. The SEC is …
https://www.finra.org/investors/have-problem/file-complaint
If you are still not satisfied with the firm's response, you can file a complaint with FINRA. Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms.
https://en.wikipedia.org/wiki/SEC_Office_of_the_Whistleblower
Whistleblowers can submit a complaint using SEC form TCR to the SEC. Online submissions are automatically uploaded into the SEC's Tips, Complaints, and Referrals system. Complaints received by mail and fax are manually entered into the TCR system …
https://securities.sos.in.gov/fileComplaint/
Please select the subject matter that you feel best describes your complaint: (Select a value) Securities/Investments Loan Broker Franchise Collection Agency Takeover Offers Commodities Personal Information
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