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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
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.
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
http://asc.alabama.gov/complaints.aspx
PROCEDURE FOR FILING A COMPLAINT WITH THE ALABAMA SECURITIES COMMISSION. The ASC is responsible for regulating the securities industry in the State of Alabama. One of our main functions is to oversee the firms and individuals that engage in …
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. ...
https://www.investopedia.com/terms/s/sec.asp
The Securities and Exchange Commission (SEC) is a U.S. government agency created by Congress to regulate the securities markets and protect investors.
https://www.scc.virginia.gov/srf/cons/complaint.aspx
If you do not want to file your complaint online or if you need to provide documents as part of your complaint, you may fill in and print out the Complaint Form (PDF), or you may write us a letter and send it to: Division of Securities & Retail Franchising, P.O. Box 1197, Richmond, Virginia 23218.
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://www.investright.org/resources/report-to-us/file-a-complaint/
If you believe you may have lost money due to an action or inaction made by your investment firm—such as providing you with unsuitable investment advice or making unsuitable or unauthorized trades on your account—you can file a complaint and hopefully resolve the issue. Watch this video to learn more about filing a complaint:
http://www.sec.gov.ph/services-2/other-services/procedures-on-filing-of-a-case/
Other ServicesRequest for Opinion on Legal Matters Request for Opinion on Financial Matters Filing an Appeal with the Office of the General Counsel Request for a copy AFS, GIS and other company filings Request for Company Listings Request for Investments and Registration Statistics Acquiring a copy of Philippines’ Top Corporations Request for Certificate of No… Continue Reading Procedures ...
https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
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.
Welcome to the official Website of Securities & Exchange Commission of Pakistan (SECP)! Read information about Laws, Licensing, Enforcement and Islamic Finance etc.
https://www.ssb.texas.gov/
Oil Company Pays $20,000 Fine, Will Make $1.5 Million Refund Offer to Investors. Woodland Resources LLC , the oil and gas company once led by a Fort Worth oilman with a history of regulatory sanctions and running companies into bankruptcy, paid a $20,000 fine to the state and will offer to refund $1.49 million to investors in two of its drilling projects.
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 …
https://www.colorado.gov/pacific/dora/division-securities
Division of Securities Department of Regulatory Agencies ... */
https://www.michigan.gov/lara/0,4601,7-154-89334_61343_32915---,00.html
Securities. The Michigan Uniform Securities Act (MUSA), 2008 PA 551, provides for the regulation of the securities industry in Michigan. The Securities & Audit Division oversees the registration of individuals and entities that provide investment-related advice to Michigan residents, the registration and exemption of products, and investigates complaints related to securities.
https://www.sosnc.gov/sec/
The offer, sale, and purchase of securities are subject to a very complex system of regulation carried out by federal, state, and self-regulatory agencies. We administer and enforce North Carolina’s securities laws, which are located in Chapters 78A, 78C and 78D of the North Carolina General Statutes.
https://www.nfa.futures.org/ComplaintNet/complaint.aspx
It includes, for example, interest rate swaps, commodity swaps, currency swaps, equity swaps and credit default swaps. Congress directed both the Commodity Futures Trading Commission and the Securities and Exchange Commission to further define the term “swap” (and security-based swap) jointly.
http://sos.nh.gov/FileComplaint.aspx
To fully appreciate the Bureau's role, please carefully read the instructions that accompany the complaint form. N.H. Bureau of Securities Regulation Complaint Form Complaint Form Instructions Filing a complaint with the Securities and Exchange Commission (SEC): SEC Complaint Center SEC Enforcement Complaint Form
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