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https://www.finra.org/investors/have-problem/file-complaint
Use FINRA's Investor Complaint Center to report any potentially fraudulent or suspicious activities by brokerage firms or brokers. Questions to Ask Ask these questions before you file a complaint.
https://www.finra.org/rules-guidance/rulebooks/finra-rules/4530
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
https://www.finra.org/compliance-tools/report-center/risk-monitoring
This quarterly report displays trends in sales practice complaints reported to FINRA on a quarterly basis, evaluated against the number of registered representatives at the …
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 a stock or other investment.
https://www.finra.org/rules-guidance/notices/20-02
Rule 4530 requires member firms to report to FINRA specified events, internal conclusions of violations, and quarterly statistical and summary information regarding written customer complaints. It also requires member firms to file with FINRA copies of specified criminal actions, civil complaints and arbitration claims.
https://www.wealthmanagement.com/legal-compliance/client-complaints-report-or-not-report
Similarly, registered reps must report complaints on their Form U4s, pursuant to Question 14L, and disclose any investment-related customer or consumer-initiated complaints involving one or more sales-practice violations where the customer claimed $5,000 or more in damages,...
https://www.finra.org/filing-reporting/regulatory-filing-systems/rule-4530/faq
FINRA Rule 4530 (Reporting Requirements) requires firms to report to FINRA specified events, such as a settlement against a firm in excess of $25,000, and quarterly statistical and summary information regarding written customer complaints.
https://www.finra.org/filing-reporting/regulatory-filings/filing-due-dates
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.
https://mastercompliance.com/2016/08/finra-rule-4530-reporting-requirements/
FINRA Rule 4530 (Reporting Requirements) requires FINRA member firms to report to FINRA specified events, such as findings by a regulatory body and quarterly statistical and summary information regarding written customer complaints. FINRA Rule 4530 also requires firms to file copies of specified criminal actions, civil complaints and arbitration claims.
https://study.com/academy/lesson/finra-rule-4530-customer-complaints-process-reports.html
A report must be filed with FINRA within 30 calendar days of any written customer complaint. In addition, firms must send summary and statistical information about all complaints to FINRA no later...
https://preview.finra.org/investors
FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to help you make informed ...
http://www.brokeandbroker.com/2975/finra-4530-/
A peculiar quirk of FINRA's rules is that the self-regulator's reporting requirements require the prompt reporting of "any written complaint" and do not similarly address the mere "oral complaint. Additionally, FINRA's reporting requirement limits the reporting of "any written customer complaint" to those "involving allegations of theft or misappropriation of funds or securities or forgery."
https://brokercheck.finra.org/
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
https://www.hardincompliance.com/blog/broker-dealer-compliance-to-do-list-for-2019/
Jan 07, 2019 · Customer Complaint Quarterly Statistical Summary: For complaints received during the 1 st Quarter, 2019. FINRA Rule 4530 requires Firms to submit statistical and summary information regarding complaints received during the quarter by the 15 th …
https://preview.finra.org/
FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.
http://theiprblog.com/2011/07/finras-new-qa-guidance-on-reporting-customer-complaint-information/
Jul 19, 2011 · Under FINRA Rule 4530 that became effective on July 1, 2011 governing reporting requirements for customer complaints, FINRA issued Regulatory Notice 11-10 reminding member firms of the requirement that they electronically report specified events …
https://www.wkelmsolutions.com/blog/anonymous/ease-burden-finra-rule-4530-reporting-and-improve-response-customer-complaints
For example, FINRA Rule 4530 requires broker-dealers to report on “any written customer complaint involving allegations of theft or misappropriation of funds or securities,” and provide quarterly “statistical and summary information regarding written customer complaints” according to a …
https://preview.finra.org/contact-finra
Additional Contacts. For more specific contact information, please visit the following pages. FINRA Coordinator Program FINRA has assigned a dedicated point of contact to each firm to address your questions on such topics as rules, filing deadlines and compliance resources.
https://us.eversheds-sutherland.com/portalresource/lookup/poid/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEuW3Cs0!/fileUpload.name=/2010%20D%20%20Heilizer%20Customer%20Complaints%20(Practical%20Compliance%20and%20Risk%20Management%20for%20the%20Sec.pdf
practice customer complaints are reportable quarterly pursuant to FINRA Rule 3070 or NYSE Rule 351(d). The concept of an alleged sales practice violation is extremely broad. The Form U4 Explanation of Terms states that “sales practice violations”:
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