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https://www.sec.gov/litigations/sec-action-look-up
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. Your search results will only include individuals charged in SEC administrative proceedings filed between October 1, 2000, and December 31, 2019, and SEC federal ...
https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online
Search for FINRA Disciplinary Actions. You can conduct a search for FINRA disciplinary actions that were issued 2005 or later – and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information).Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have ...
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.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.sec.gov.ph/lending-companies-and-financing-companies/complaints/
Lending Companies and Financing CompaniesLending Companies and Financing Companies Functions and Responsibilities Relevant Laws and IRRs SEC Issuances Procedures, Submission, and Other Requirements Frequently Asked Questions Advisories and Notices List of Financing Companies List of Lending Companies List of Revoked and Suspended Lending Companies Request for Monitoring …
https://securities.sos.in.gov/
Welcome to the Indiana Securities Portal The Securities Portal is the easy, fast and secure way to connect with the
https://adviserinfo.sec.gov/
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
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 …
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.sosnc.gov/search/index/corp
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https://www.secsports.com/
The Florida men and Tennessee women are the winners of the 2020 SEC Swimming & Diving Championships. Read More . 1:58. Lady Vols survive against in-state rival Vanderbilt. 1 day ago. Vanderbilt pushes Tennessee to the brink of a loss, but the Lady Vols survive 67-63, thanks to a double-double from Rennia Davis (18 points, 10 rebounds).
http://cca.hawaii.gov/sec/complaints/
SEB Complaint Form (PDF) The Office of the Commissioner of Securities is responsible for regulating securities activities and franchising activities in the State of Hawaii. We oversee the firms and individuals who offer or sell securities, offer investment advice and offer or sell franchises to the public. Before filling out the Complaint Form, please review […]
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.state.gov/bureaus-offices/bureaus-and-offices-reporting-directly-to-the-secretary/office-of-civil-rights/
Our Mission The mission of the Office of Civil Rights (S/OCR) is to propagate fairness, equity and inclusion at the Department of State. S/OCR’s business is conflict resolution, employee and supervisor assistance, and diversity management.
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.newsweek.com/us-crypto-trading-website-coinbase-drowning-sec-complaints-988990
A gold plated souvenir Bitcoin coin is arranged for a photograph on a smart phone displaying current value of a single bitcoin, and options to buy or sell, on an app for the digital asset broker ...
http://consumer.sc.gov/HOA-reports
The 2020 report contains information from 192 complaints as 17 were duplicates and 3 did not meet the statutory requirements for inclusion. One hundred eighty-three consumers filed complaints against 143 HOA/ Management Companies. Only 6.0% of complaints were closed as "Unsatisfied" due to a business' failure to respond. A marked decline from ...
https://en.wikipedia.org/wiki/List_of_major_SEC_enforcement_actions_(2009%E2%80%9312)
Jump to navigation Jump to search. 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.
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