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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/
In other cases, the SEC will refer broker complaints to its Division of Enforcement. This office deals with allegations that involve serious securities law violations. Your broker complaint will match up with other complaints that have already been filed with the agency by other investors.
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
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. Forwarding your complaint to other regulators may delay the process of …
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://mashable.com/article/sec-coinbase-complaints-fraud/
In 134 pages of complaints filed to the SEC and the California Department of Business Oversight obtained by Mashable following a five-month FOIA process, a picture emerges not of a responsible ...
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://en.wikipedia.org/wiki/List_of_major_SEC_enforcement_actions_(2009%E2%80%9312)
The below list of major SEC enforcement actions (2009–12) reflects major actions that the Enforcement Division of the United States Securities and Exchange Commission (SEC) brought in 2009–12.. The SEC is a federal agency of the United States. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options ...
https://www.businessinsider.com/customer-complaints-about-coinbase-detailed-in-sec-filings-2018-6
Among the most egregious allegations found in a number of complaints filed with the SEC are the claims that Coinbase "stole" cryptocurrency holdings from its users, repeatedly ignored customer ...Author: Zoë Bernard
https://www.hhs.gov/hipaa/for-professionals/compliance-enforcement/data/complaints-received-by-calendar-year/index.html
Apr 03, 2019 · This bar graph represents annual numbers of complaints received from January 1, 2015, through December 31, 2018.Author: Office For Civil Rights (OCR)
https://www.sec.state.nm.us/faqs/
How Are Briefs and Motions to Dismiss Filed? The Commission directs both Respondents and Complainants to use the Commission’s case management and docketing system to file all case documents and actions. The case management and docketing system may be accessed through Case Login page on the Commission’s website: sec.state.nm.us. Parties may ...
https://www.wsj.com/articles/at-the-sec-whistleblowers-blow-whistle-on-watchdog-1510488003
At the SEC, Whistleblowers Blow Whistle on Watchdog Officials working for the SEC inspector general have filed complaints alleging retaliation for calling out misconduct in the office
https://www.usitc.gov/petitions_and_complaints/index.htm
This page provides information about recent petitions and complaints filed with the USITC. After the institution of an investigation, related information may be found in Federal Register notices. Displaying 1 - …
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://www.ajc.com/news/local-govt--politics/sec-complaint-filed-braves-bond-issuance/KCMWErwyHcuOg5dc1igIdL/
Susan McCoy said that she filed the complaint in March because municipal bonds are overseen by the SEC and she was unsettled by how quickly the Braves deal was approved by commissioners — just ...Author: Dan Klepal
https://adviserinfo.sec.gov/iapd/default.aspx
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
https://www.reddit.com/r/RobinHood/comments/6lv7ws/sec_complaint_filed_on_robinhood_markets/
Jul 07, 2017 · SEC Complaint filed on Robinhood Markets. Help. Robinhood forcing trades. My portfolio is 150% over the margin. They hit me with margin call. They are selling stock off like its Christmas. I haven't been able to touch any funds to trade in last two months. I would really like to see them in court but I don't have the funds to fight them legally.
https://www.ssa.gov/forms/ssa-437.pdf
Complaints must generally be filed within 180 days of the alleged discrimination. If the date of discrimination listed above is more than 180 days ago, you may request a waiver of the time limit for filing a complaint. If you wish to request a waiver, please explain why you waited until now to …
https://rippreport.com/2018/04/11/alabama-sec-of-state-the-only-one/
Apr 11, 2018 · The Ripp Report had submitted complaints to the Alabama Sec, of State for the past two elections. This paper trail added to the credibility of the complaints filed in 2016. As a result of the Ripp Reports, numerous individuals, not known to me, also complained and voiced their concerns.
https://www.lawyersclubindia.com/articles/Procedure-for-Complaint-Filed-U-Sec-138-N-I-Act-3452.asp
Procedure for Complaint Filed U/Sec 138 N.I.Act. For the Knowledge of common persons who are involved in false cases of Section 138 NiI. Act must know the following Procedure of Law :- A).UNDER PROVISIONS OF NEGOTIABLE INSTRUMENTS ACT.SEC.138 A LEGAL NOTICE ON BEHALF OF COMPLAINENT IS ISSUED TO THE DEFAULTER WHOSE CHEQUE IS DISHONOURED.IT ...
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