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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
http://www.sec.gov.ph/lending-companies-and-financing-companies/complaints/
If our Department finds sufficient grounds that warrant the commencement of an administrative action against the financing company/lending company, we will issue a Formal Charge and proceed against the financing company/lending company in accordance with the 2016 Rules of Procedure of the Securities and Exchange Commission.
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
How to File Complaints and Report Fraud to the SEC. by Craig McGuire. The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, ... including guidance on filing complaints and reporting fraud.Author: Craig Mcguire
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. ... their response to complaints filed by PeopleClaim users. Higher ratings generally reflect a history of constructively responding to all complaints filed through our system, or no history of claims filed against the company ...
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.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://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.The SEC holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, which is the nation's stock and options exchanges, and other activities and organizations, including the electronic securities ...Agency executive: Jay Clayton, Chairman
https://sec.gov.ng/rules-relating-to-the-complaints-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. Complaints lodged with Capital Market Operators and listed Public Companies 1.
https://corporate.findlaw.com/law-library/securities-and-exchange-commission-division-of-enforcement.html
The Division of Enforcement, a division of the United States Securities and Exchange Commission, is charged with enforcing the federal securities laws. The Division.s responsibilities include investigating possible violations of federal securities laws and recommending appropriate remedies for consideration by the Commission.
https://www.history.com/topics/us-government/securities-and-exchange-commission
Sep 11, 2001 · The Securities and Exchange Commission, or SEC, is an independent federal regulatory agency tasked with protecting investors and capital, overseeing the …
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://www.businessghana.com/site/news/Business/184599/Securities-and-Exchange-Commission-on-track-to-deal-with-complaints
The Securities and Exchange Commission (SEC) says it is working to address ongoing issues, including complaints of inability of funded managers to meet redemption requests, in the Asset Management Industry to ensure the protection of customers.
http://asc.alabama.gov/complaints.aspx
The United States Securities and Exchange Commission (SEC) has approved certain arbitration procedures for resolution of disputes between investors and broker/dealers. Arbitration is a method of having a dispute between two or more parties resolved by an impartial person who is knowledgeable in the areas of controversy.
https://www.osc.gov.on.ca/en/contactus_index.htm
We Can Help - Fraud, Scam, Binary Options, Advisor, Investment Advice, Fees, Rate of Return, Money Schemes, Trust, Insider Trading, Sales Practices, ETF, Bitcoin ...
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.eeoc.gov/federal/reports/fsp2009/sec.cfm
Of the 15 complaints filed at SEC, 2 contained allegations of race (Black/African American) discrimination, 1 contained an allegation of race (White) discrimination, 1 contained an allegation of color discrimination and 7 contained allegations of disability discrimination.
https://www.investor.gov/
Submit Questions and Complaints. Ask a question or report a problem concerning your investments, your investment account or a financial professional. Director’s Take: The Fuss About Fees. Director of Education and Advocacy Lori Schock explains how investment fees can shrink your portfolio.
https://en.wikipedia.org/wiki/SEC_Office_of_the_Whistleblower
The U.S. Securities and Exchange Commission (SEC) whistleblower program went into effect on July 21, 2010, when the President signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act.The same law also established a whistleblower incentive program at the Commodity Futures Trading Commission to incentivize reporting of violations of the Commodity Exchange Act, which is run ...
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