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https://www.sec.gov/complaint/select.shtml
May 12, 2017 · Learn about the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act 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
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.
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, according to the Commission’s mission statement posted online. Shareholders need to be aware of the roll role this critical entity agency plans plays in protecting their investments.Author: Craig Mcguire
https://www.sec.gov/complaint/question.shtml
May 12, 2017 · Investor Complaints. 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.
http://www.sec.gov.ph/lending-companies-and-financing-companies/complaints/
Endorse your complaint to other departments in the Commission, e.g., Enforcement and Investor Protection Department (EIPD), Markets and Securities Regulation Department (MSRD), etc. Furnish the financing company or lending company with a copy of your complaint for its answer/comment
https://www.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-investor-complaints
Apr 19, 2017 · The copies may be emailed to [email protected], faxed to (202) 772-9295, or mailed to U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street, N.E., Washington, DC 20549-0213. OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint.
https://www.usa.gov/federal-agencies/securities-and-exchange-commission
Securities and Exchange Commission. The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.
The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC.
https://www.oag.ca.gov/consumers/general/investing-financial-professionals
If you have been scammed or victimized by an investment advisor, securities broker or dealer, or other type of financial advisor, you can submit a complaint to the SEC here, or to the California Department of Business Oversight (DBO), which regulates a variety of financial service providers, here.
https://www.peopleclaim.com/complaint-history/securities-and-exchange-commission-birmingham-al-199889
Complaint History & Business Rating for Securities and Exchange Commission 2201 Richard Arrington Blvd North, Birmingham, Alabama, 35203, United States. Is this your business?
https://www.investopedia.com/terms/s/sec.asp
The Securities and Exchange Commission (SEC) is a U.S. government agency created by Congress to regulate the securities markets and protect investors.
https://sec.gov.ng/category/circular/
The Securities and Exchange Commission (the Commission), pursuant to its powers under section 13(w) of the Investments and Securities Act […] Share this: Email
https://sec.gov.ng/rules-relating-to-the-complaints-management-framework-of-the-nigerian-capital-market/
(a) Complaints against private wound up and liquidated companies. (b) Complaints on matters that are sub-judice or in arbitration. (c) Complaints falling outside the purview of the Securities and Exchange Commission. 5. Complaints lodged with Capital Market Operators and listed Public Companies 1.
https://corporate.findlaw.com/law-library/securities-and-exchange-commission-division-of-enforcement.html
The Division of Enforcement, a division of the United States Securities and Exchange Commission, is charged with enforcing the federal securities laws. The Division.s responsibilities include investigating possible violations of federal securities laws and recommending appropriate remedies for consideration by the Commission.
https://sec.gov.gh/file-a-complaint/
Dec 18, 2018 · File a Complaint to the Securities and Exchange Commission Ghana - SEC Ghana. Please complete the online form for our action.
https://consumerist.com/tag/securities-and-exchange-commission/index.html
Instead, the Securities and Exchange Commission alleges former New York Giants player Will Allen used his big league connections to assist in the operation of a $31 million Ponzi scheme based on ...
https://sec.gov.ng/category/news/
The Securities and Exchange Commission (SEC) received over 40 letters of investor complaints against BGL Group Plc alleging indebtedness to […] Share this: Email
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