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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://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.
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
The SEC is an agency created by the people, for the people. Here are some key points, pulled directly from the SEC’s website, on its role as a partner and advocate for the shareholder, including guidance on filing complaints and reporting fraud.Author: Craig Mcguire
https://www.sec.gov/eeoinfo/eeocomplaints.htm
May 12, 2017 · The Equal Employment Opportunity Commission (EEOC) has the authority to establish the federal agency process for complaints of employment discrimination made by applicants or employees who believe they have been discriminated against in violation of Federal Antidiscrimination Laws that prohibit discrimination on the basis of age (40+), color, disability, genetic information, …
https://www.sec.gov/enforce/how-investigations-work.html
Jan 27, 2017 · Whether the Commission decides to bring a case in federal court or within the SEC before an administrative law judge may depend upon various factors. Often, when the misconduct warrants it, the Commission will bring both proceedings. Civil action: The Commission files a complaint with a U.S. District Court and asks the court for a sanction or remedy. Often the Commission asks for a court …
https://www.sec.gov/complaint/question.shtml
May 12, 2017 · If you have a problem with your investments, investment account, or a financial professional (examples are listed below), use our investor complaint form to provide us your information. Order handling, trade execution, confirmations; Delivery of funds or securities; Dividends; Fees, commissions or mark-ups
https://www.finra.org/investors/have-problem/file-complaint
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. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.
https://www.sec.gov/whistleblower/frequently-asked-questions
When OMI determines a complaint warrants deeper investigation, OMI staff assigns the complaint to one of the SEC’s eleven regional offices, a specialty unit, or to an Enforcement group in the Home Office. Complaints that relate to an existing investigation are forwarded to the staff working on the matter.
https://www.eeoc.gov/eeoc/publications/fedprocess.cfm
Federal EEO Complaint Processing Procedures. Contact EEO Counselor Aggrieved persons who believe they have been discriminated against must contact an agency EEO counselor prior to filing a formal complaint. The person must initiate counselor contact within 45 days of the matter alleged to be discriminatory. 29 C.F.R. Section 1614.105(a)(1).
https://sites.ed.gov/idea/regs/b/e/300.508
The due process complaint required by this section must be deemed sufficient unless the party receiving the due process complaint notifies the hearing officer and the other party in writing, within 15 days of receipt of the due process complaint, that the receiving party believes the due process complaint does not meet the requirements in paragraph (b) of this section.
https://en.wikipedia.org/wiki/SEC_Office_of_the_Whistleblower
An SEC Office of the Whistleblower attorney, who conducts a full review of a covered action, generally communicates with whistleblowers who have submitted award applications under a covered action. A written notification of the claims review staff's preliminary determination and a whistleblower's rights in the awards claims process are sent to ...
https://consumercomplaints.fcc.gov/hc/en-us/articles/205082880-Filing-a-Complaint-Questions-and-Answers
This article provides information about the informal complaint process, including how to file a complaint, and what happens after a complaint is filed. How do I file an informal complaint? What happens after I file my complaint? Does the FCC contact me directly about my complaint? What if I have completed the form and can't submit it?
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
Investor Complaint Center. (Centro de Reclamo para el inversionista) 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.
https://www.finra.org/sites/default/files/InvestorDocument/p011944.pdf
may refer complaints to the Securities and Exchange Commission (SEC), other federal or state enforcement agencies or another private securities regulator for further action or possible criminal prosecution. What if an investor is seeking damages? If your purpose in filing a complaint is to recover money or securities, we suggest that you also
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. Here, our experienced FINRA arbitration attorneys explain the key steps in filing an official FINRA complaint against your financial advisor or stockbroker.
https://www.osha.gov/Publications/osha-factsheet-sox-act.pdf
complaint to their closest OSHA regional or area office. Written complaints may be filed by facsimile, hand delivery during business hours, U.S. mail (confirmation services recommended), or other third-party commercial carrier. For written complaints, the date the complaint is sent via fac - simile, hand delivered, postmarked, or delivered
https://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfCFR/CFRSearch.cfm?fr=820.198
Apr 01, 2019 · Sec. 820.198 Complaint files. (a) Each manufacturer shall maintain complaint files. Each manufacturer shall establish and maintain procedures for receiving, reviewing, and evaluating complaints by a formally designated unit.
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