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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
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.sonnlaw.com/faq/sec-complaints-filing-complaint-broker/
In other cases, the SEC will refer broker complaints to its Division of Enforcement. This office deals with allegations that involve serious securities law violations. Your broker complaint will match up with other complaints that have already been filed with the agency by other investors.
https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint. You should reference this file number when contacting OIEA. To provide the SEC with information about fraud or wrongdoing involving potential violations of the federal securities laws, use the Tips, Complaints and Referrals Portal.
https://www.sec.gov/whistleblower/submit-a-tip
The SEC treats all tips, complaints and referrals as confidential and nonpublic, and does not disclose such information to third parties, except in limited circumstances authorized by statute, rule, or other provisions of law.
Sep 20, 2017 · Failure to file required reports with the SEC Bribery of, or improper payments to, foreign officials Fraudulent conduct associated with municipal securities transactions or public pension plans
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.
http://www.consumerfraudreporting.org/SEC.php
Complaints - Use one of the SEC's online forms to file your complaint electronically. Tips - Report a potential violation of the securities laws directly to [email protected] . Please do not use this email box for general comments or questions.
https://www.investor.gov/additional-resources/general-resources/glossary/complaints
Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional, including problems involving: Order handling, trade execution, or …
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 investigating your complaint.
https://www.finra.org/investors/have-problem/file-complaint
File a Complaint Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a sales person, brokerage firm or other industry professional has treated you unfairly, contact the firm to …
https://sec.gov.ng/rules-relating-to-the-complaints-management-framework-of-the-nigerian-capital-market/
1.) The following complaints may be lodged at first instance with the SEC:-(a) Complaints against operators by SROs/Regulator. (b) Trade manipulation, accounting frauds, Ponzi schemes and such other complaints as may be determined by the SEC from time to time. 2.) In the case of (a) the SEC shall acknowledge receipt of complaints received from complainants by email, within five (5) working days. 3.)
https://www.finra.org/sites/default/files/InvestorDocument/p011944.pdf
response, you can send a complaint to FINRA. File a Complaint FINRA maintains an Investor Complaint Center on its website. Through the Investor Complaint Center (www.finra.org/complaint), investors and others can immediately alert us to any potentially fraudulent or suspicious activities by brokerage firms or brokers. How to Submit a Complaint
https://mashable.com/article/sec-coinbase-complaints-fraud/
A recurring theme in the SEC complaint files Mashable obtained is the seeming disappearance of a would-be trader's money, and what is portrayed as an aggressive nonchalance on the part of Coinbase...
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://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. File a Complaint to the Securities and Exchange Commission Ghana - SEC Ghana. Please complete the online form for our action. File a Complaint to the Securities and Exchange Commission Ghana - SEC Ghana. ...
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