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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.
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/
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.
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
The SEC is an agency created by the people, for the people. Here are some key points, pulled directly from the SEC’s website, on its role as a partner and advocate for the shareholder, including guidance on filing complaints and reporting fraud.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
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.
Sep 20, 2017 · 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; Fraudulent conduct associated with municipal securities transactions or public pension plans ; Important Resources
https://securities.sos.in.gov/fileComplaint/
The Registration Category of "Amendment" should only be selected if a post-effective amendment is being made to increase the number of securities specified to be offered or sold. To file all other amendments and supplemental materials, proceed to the "My Registrations" page.
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 you invest in …
https://www.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-investor-complaints
Apr 19, 2017 · The SEC often makes its files, including complaint information, available to other government agencies. Complaint information submitted to OIEA is subject to Privacy Act System of Records Notice SEC-65 (SORN SEC 65, Investor Response Information System), which is published and updated regularly.
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://securities.sos.in.gov/general-information/file-a-complaint/
Filing a complaint can be done using the Indiana Securities Portal or by completing the paper complaint form. When the Division receives your complaint, it will be acknowledged by mail, phone or email. A member of the Division will evaluate your complaint and may contact you or others for more information.
https://www.sonnlaw.com/faq/complaint-against-financial-advisor/
Oct 21, 2019 · As a registered financial advisor (RIA), your financial advisor, and the firm that employs him or her, is regulated by the Financial Industry Regulatory Authority (FINRA). Accordingly, if you move forward with filing an official complaint against your advisor, you will be filing the complaint with FINRA.
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://www.tn.gov/commerce/securities/investors/file-a-complaint.html
To file a complaint you may call us at 615-741-5900 to speak with an investigator, or you may use our Fillable Complaint Form. When you determine that a situation you are in warrants filing a complaint with the Division, you have several ways to send us that complaint.
https://www.sosnc.gov/divisions/securities/file_a_complaint
File a Complaint The NC Securities Division examines investor complaints about securities industry professionals and securities offerings. To file a complaint, use our Online Complaint Form or print the PDF Complaint Form to submit it by fax (919-807-2183) or mail.
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