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https://www.sec.gov/litigations/sec-action-look-up
SEC Action Lookup - Individuals. Individuals with Court or Commission Orders Entered Against Them. Last Name (required) First Name. Subscribe . About this Feature. This search feature allows you to look up information about individuals who have been named as defendants in SEC federal court actions or respondents in SEC administrative proceedings.
https://www.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-how-check-out-your-financial
May 29, 2019 · The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to explain how to check out an investment professional’s registration status and background. Why should I check out my investment professional and firm? You can learn important information like:
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.finra.org/investors/have-problem/file-complaint/complaint-center
Contact the firm. Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an ...
http://www.adviserinfo.sec.gov/IAPD/default.aspx
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
https://www.thebalance.com/financial-advistors-credentials-2388438
Jun 25, 2019 · How to Check Your Financial Advisor's Credentials. ... You can use the BrokerCheck feature on FINRA’s website to see if there are any complaints on file. If the answer is the SEC, you can use the SEC Investment Advisor search feature on their website to check out both the advisor and the firm they work for.
https://www.hud.gov/complaints_home
HUD handles complaints in several categories: Housing discrimination: Federal law prohibits housing discrimination based on your race, color, national origin, religion, sex, family status, or disability.If you have been trying to buy or rent a home or apartment and you believe your rights have been violated, you can file a fair housing complaint.
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
Customer complaints are often the bane of compliance and legal de-partments. Because they are frequently time intensive, often factually involved and sometimes fraught with emotion, responding to customer complaints can consume significant resources.1 The process of analyzing and reporting customer complaints will likely become even more ...
https://www.hud.gov/faqs/complaints
Complaints. How can I file a housing discrimination complaint? Answer: You can file a complaint right online! Or you can call the Housing Discrimination Hotline: (800) 669-9777. How do I report possible fraud in a HUD program?
http://consumer.sc.gov/HOA-reports
Homeowners Association Complaint Reports. Background. A 2018 change to state law (S.C. Code Ann. § 27-30-340) requires DCA to collect certain data from complaints involving homeowners associations (HOA). Information collected is to be reported to the Governor, General Assembly and the public by January 31st each year. ... Business Lookup. Find ...
http://www.scc.virginia.gov/srf/
The Division answers inquiries, provides investor education programs, handles complaints, performs audits, and conducts investigations regarding code violations relating to securities and retail franchising. SCC Ex Parte: In the matter of adopting a revision to the Rules Governing the Virginia Retail Franchising Act ... SEC-2019-00052 - Order ...
https://sos.vermont.gov/dental-examiners/
Lookup individual licensees or download a roster for this profession. ... Your profession is governed by the Board of Dental Examiners, follow the link to learn more. Complaints, Conduct & Discipline. Discipline resources and conduct decision searches. Contact Us. Contact information and directions to our Montpelier office. FAQs.
https://www.nhtsa.gov/recalls
Use our VIN lookup tool to check for recalls on your car, or search by make and model. Also, get recall information on car seats, tires and equipment. ... NHTSA reviews filed complaints from vehicle owners and other information related to alleged defects to decide whether to open an investigation.
https://sos.vermont.gov/opr/
Contact Information. S. Lauren Hibbert, Director. 89 Main Street, 3rd Floor. Montpelier, VT 05620-3402. Renewal Clerk. 802-828-1505. [email protected]
https://portal.ehawaii.gov/home/online-services/business-search/
Business Complaints Search, RICO The Regulated Industries Complaints Office search allows you to check if a business or individual has had complaints filed against them and view the outcome of those complaints. Business Registration Register a business online in the state of Hawaiʻi.
https://www.floridabar.org/public/acap/
The public reprimand is a Supreme Court-ordered form of public discipline that declares the conduct of the lawyer improper. Public reprimands are delivered before the 52-member Florida Bar Board of Governors and are public record. A downloadable video of an actual public reprimand (2 min. 7 sec., 14.7MB) has been posted for information.
https://www.finra.org/investors/protect-your-money/ask-and-check
Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals. If you find the individual on BrokerCheck, click the "More Details" button below their name to view their summary report.
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.
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