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Sep 20, 2017 · Failure to file required reports with the SEC Bribery of, or improper payments to, foreign officials Fraudulent conduct associated with municipal securities transactions or public pension plans
https://www.sonnlaw.com/faq/sec-complaints-filing-complaint-broker/
The SEC allows all members of the public to file a broker complaint electronically. To do so, you will need to use the official Securities and Exchange Commission Investor Complaint Form. This form generally takes between 30 and 90 minutes to complete, and it asks for: Basic personal identifying information; Background information on your broker; A description of the nature of the complaint ...
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
How to Report a Possible Securities Fraud. If you would like to provide the SEC with information about fraud or wrongdoing involving potential violations of the securities laws, which may include the conduct listed below, use the Tips, Complaints and Referrals Portal. See also further information about submitting a tip or complaint.Author: Craig Mcguire
https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.
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.investor.gov/additional-resources/general-resources/glossary/complaints
The SEC’s Office of Investor Education and Advocacy (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. Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional ...
http://www.consumerfraudreporting.org/SEC.php
Complaints - Use one of the SEC's online forms to file your complaint electronically. Tips - Report a potential violation of the securities laws directly to [email protected]. Please do not use this email box for general comments or questions. Investment-Related Spam Emails - Forward investment-related spam e-mails to [email protected].
https://oig.ssa.gov/report-fraud-waste-or-abuse/fraud-waste-and-abuse
To report suspected fraud, waste, and abuse related to Social Security programs and operations, including Social Security benefit fraud, Supplemental Security Income fraud, misue of benefits by a represenatative payee, or other Social Securty related fraud, please click the button below.
https://sec.govcomhotline.com/
OIG Evaluation. The OIG will evaluate your complaint and determine an appropriate course of action. Options include opening an OIG review (audit, evaluation or investigation); referring the matter to a SEC Division or Office for review and corrective action, if warranted; referring the matter to another Federal agency; or taking no action (allegations that do not involve a potential violation ...
https://www.justice.gov/archives/stopfraud-archive/report-financial-fraud
If you would like to report financial fraud, please contact the FBI at 202.324.3000 or online at https://tips.fbi.gov.. You may also wish to contact the United States Attorney's Office where you are located or where the fraud was committed.
https://www.investopedia.com/articles/fundamental-analysis/08/sec-forms.asp
Learn about SEC form 10-Q, a comprehensive report of a company's performance submitted quarterly by all public companies to the SEC. more. Adequate Disclosure.
https://www.finra.org/investors/have-problem/file-complaint
Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a sales person, brokerage firm or other industry professional has treated you unfairly, contact the firm to see if you can resolve the issue. If you are still not satisfied with the firm's response, you can file a complaint with ...
https://www.cnbc.com/2019/03/15/dieselgate-sec-says-volkswagen-perpetrated-fraud-lied-to-investors.html
Mar 15, 2019 · The SEC said in its complaint filed in San Francisco that from April 2014 to May 2015, Volkswagen issued more than $13 billion in bonds and asset-backed securities in …
https://oig.ssa.gov/report
Report Fraud. Social Security Phone Scams . There is a widespread telephone scam happening right now across the country involving Social Security. Callers say they are from Social Security, and may say there is a problem with your Social Security number or threaten to arrest you unless you pay a fine or fee with cash, retail gift cards, pre ...
https://www.sos.ca.gov/elections/publications-and-resources/voter-complaint/
Election Voter Complaint Form. If you believe that you are a victim of election fraud or have witnessed a criminal violation of the California Elections Code, you may use the Election Voter Complaint Form to report the violation to our office. Select the Election Voter Complaint Form in your preferred language:
https://www.usa.gov/stop-scams-frauds
Moving fraud - To report a dishonest moving company within the same state, file a complaint with your state utility commission. For complaints about interstate moving services, file a report with the Federal Motor Carrier Safety Administration. Social Security fraud - …
http://www.adviserinfo.sec.gov/
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
http://consumer.sc.gov/HOA-reports
Current Report Information. View the 2020 HOA Complaint Report (XLS) - The information contained in the report is compiled from complaints received January 1, 2019 - December 31, 2019. 2020 Executive Summary. Since DCA began collecting additional data on HOA complaints (June 1, 2018 - December 31, 2019), the agency received 304 complaints.
https://www.vox.com/2019/9/26/20884022/whistleblower-complaint-trump-ukraine-read
Sep 26, 2019 · The whistleblower complaint at the center of Trump’s Ukraine scandal — the scandal that spurred House Democrats to finally embrace an impeachment inquiry — …Author: Andrew Prokop
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