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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://legalbeagle.com/13645300-how-to-file-a-complaint-against-a-business.html
Sep 26, 2017 · File a complaint with the Federal Trade Commission. The FTC is tasked with protecting U.S. consumers. Go to the FTC's Complaint Assistant service to issue a complaint against a business. Follow the prompts on the website to finish the complaint and send it to the FTC.
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://blog.ipleaders.in/procedure-file-complaint-company-roc/
Steps required to file a complaint. While filing this online form on MCA website, one has to enter the Corporate Identity Number (CIN) of the company. On MCA Website click on MSA Services > Complaints, there you will find an option of Create Investor Complaint, click on that it will provide you with Investor Complaint Form.
https://www.sonnlaw.com/faq/complaint-against-financial-advisor/
Oct 21, 2019 · If you’re considering filing a complaint against your financial advisor it’s important that you have a clear understanding of the general process. 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).
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://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.sebi.gov.in/department/investment-management-department-9/investor-complaints-cell-123/overview.html
Securities and Exchange Board of India is made for protect the interests of investors in securities and to promote the development of, and to regulate the securities market …
https://www.consumerfinance.gov/complaint/
Start your complaint here If you have a complaint with a financial product or service, tell us about your issue—we'll forward it to the company and work to get you a response, generally within 15 days. Start a new complaint Submitting a complaint helps you
https://www.bbb.org/consumer-complaints/file-a-complaint/get-started
Complaints against government agencies, including the postal service; ... The complaint must allege a deficiency in the company's marketplace performance with regard to the services or products ...
https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
OIEA receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. ... OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint.
https://www.wikihow.com/File-a-Complaint
Mar 29, 2019 · How to File a Complaint. Complaints may arise at work, school, home or out in public. In a government office or large corporation, complaints may be filed regarding discriminatory practices, unsafe work environments or illegal practices....
https://www.bbb.org/consumer-complaints/file-a-complaint/find-business/
Choose the business you'd like to file a complaint against from the list to the left. Use the "Select" button to select a business. If you can't find the right business in the search results, you...
https://www.canada.ca/en/financial-consumer-agency/services/complaints/file-complaint-financial-institution.html
Ask a representative at your branch to assist you with your complaint. You can also talk to someone from your financial institution’s call centre or its online chat function. Make sure you have all your information available when you speak with the representative.
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