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https://www.finra.org/investors/have-problem/file-complaint/complaint-center
Your complaint may need to be directed to other organizations depending on who has jurisdiction over the investment adviser or financial planner. 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.
https://www.nasdaq.com/articles/filing-investor-complaint-2016-03-10
Mar 10, 2016 · If you have a problem with an investment adviser, transfer agent, mutual fund company or public company, you may want to file a complaint with the SEC or your state securities regulator. Learn more...
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://dfi.wa.gov/consumers/file-complaint/investor-complaint
File a complaint via mail or fax Contact the Division of Securities by calling (360) 902-8760 or 1-877-RING DFI (1-877-746-4334). Email us: [email protected] .
https://www.bbb.org/consumer-complaints/file-a-complaint/find-business/
Find Business. Use the search bar above to find the business you'd like to file a complaint against. You can search using a Business's Name, Phone Number, Website URL or an Email Address. Some businesses have more than one physical location. A business with multiple locations will be marked as such and when you select it from the list...
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.consumeraffairs.com/finance/invest.html
SIPC member: If you’re investing in the stock market, choose a firm or agent that is a member of the Securities Investment Protection Corporation (SIPC). The SIPC insures that consumer assets, up to $500,000, will be protected if the firm goes out of business and investor assets are missing.Author: Jim Blankenship
https://www.usa.gov/consumer-complaints
File a complaint with your local consumer protection office or the state agency that regulates the company. Notify the Better Business Bureau (BBB) in your area about your problem. The BBB tries to resolve your complaints against companies. Some federal agencies accept complaints about companies, but may not resolve your problem. They use complaints to help them investigate fraud.
https://www.investopedia.com/articles/02/100902.asp
For example, if your complaint is against a Certified Financial Planner, you can file with the Certified Financial Planner Board of Standards. If it is against a Chartered Financial Analyst, you...
https://www.checkbca.org/report/cochran-investment-company-inc-98002008
This includes how quickly a company responds to complaints, the number of complaints against a company, whether the company addressed complaint allegations, and the outcome of the complaints. CRI is just a subset of the overall rating for the company.
https://www.canada.ca/en/financial-consumer-agency/services/complaints/file-complaint-financial-institution.html
If you have an issue with a federally regulated financial institution (FRFI), you have the right to make a complaint by using its complaint-handling process.Find out if your financial institution is federally regulated. This process usually has 4 steps, although some institutions may only have 2 or 3 steps.
https://www.iiroc.ca/investors/makingacomplaint/Pages/default.aspx
IIROC does not review customer service complaints, such as late statements or poor service. If you have a service complaint, contact your firm directly. IIROC does not provide financial, investment or legal advice. IIROC does not provide compensation or dispute resolution services.
https://dbo.ca.gov/file-a-complaint/
Jan 15, 2020 · File a Complaint The Department of Business Oversight (DBO) encourages financial services consumers to submit their complaints if they believe a DBO licensee has violated state law, acted improperly or believe a company or person is conducting unlicensed activity that falls within the DBO’s jurisdiction.
https://www.investright.org/resources/report-to-us/file-a-complaint/
If your complaint is about the disclosure practices of any company listed on the TSX or TSX Venture Exchange, you can file it directly with them: TSX – [email protected] TSX Venture Exchange – [email protected] Complaints About an Investment in a Private Company
https://www.bbb.org/us/ca/tustin/profile/investment-management/cochran-investment-company-inc-1126-98002008
File a Complaint. Are you the business owner of Cochran Investment Company Inc? Claim your listing. Overview. This company offers financial advising and investing services. Business Details.
https://dfr.oregon.gov/help/complaints-licenses/Pages/file-complaint.aspx
Find information about regulatory actions, violations, and complaints that others have filed against financial service providers, investment brokers, and insurance companies. File a complaint online or contact us: 888-877-4894 (toll-free) 888-877-4894 (toll-free in Oregon)
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