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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/
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://dlr.sd.gov/securities/complaints.aspx
Division of Insurance - Securities Regulation Enforcement and Investor Complaints The Division of Insurance - Securities Regulation is responsible for regulating securities, franchise and business opportunity offerings for the state of South Dakota.
http://kfi.ky.gov/complaint/Pages/securities.aspx
The Division of Securities welcomes any information or inquiries concerning suspected violations of the Kentucky Securities Act, Kentucky Revised Statutes (KRS) Chapter 292.To file a complaint, report potential fraud or receive additional information regarding a securities entity or individual regulated by the Department of Financial Institutions (DFI) Division of Securities, contact DFI ...
https://www.sos.mo.gov/securities/mipc/complaint
File a Complaint Secretary of State's John R. Ashcroft’s office is responsible for ensuring compliance with state securities laws through the Securities Division. This responsibility includes enforcement of the law when violations occur, and the regulation of investment sales through registration of securities, broker-dealers, agents ...
https://www.michigan.gov/lara/0,4601,7-154-89334_61343_32915---,00.html
Securities. The Michigan Uniform Securities Act (MUSA), 2008 PA 551, provides for the regulation of the securities industry in Michigan. The Securities & Audit Division oversees the registration of individuals and entities that provide investment-related advice to Michigan residents, the registration and exemption of products, and investigates complaints related to securities.
http://azcc.gov/securities/investor-complaints-and-reporting/investor-complaints
Complaints. The Securities Division of the Arizona Corporation Commission is responsible for regulating the securities industry in the state of Arizona. One of our main functions is to oversee the firms and individuals that engage in the offer and sale of securities to the public.
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 …
https://portal.ct.gov/DOB/Consumer/Consumer-Complaints/Securities-BD-IA
File a Securities Complaint. Department of Banking Complaint Notice: The Department of Banking reviews complaints with a Connecticut nexus*.Complaints can be about Securities Brokerage firms and their representatives, Investment Adviser firms (including financial planners) and their representatives, issuers of securities, mutual funds, public companies and Business Opportunities conducting ...
https://www.adigitalblogger.com/complaints/sbi-securities-complaints/
Nov 30, 2018 · SBI Securities Complaints. Here is a quick snap-shot of the complaints raised by its client base over the last few years along with the number of complaints resolved by …3/5
https://www.sonnlaw.com/investigations/history-complaints-securities-america-inc/
What current and prospective clients should know about complaints and regulatory actions against Securities America Inc. Based in La Vista, Nebraska, Securities America Inc. (CRD#: 10205) is a broker-dealer that is registered to operate in all 50 US states along with the District of Columbia and Puerto Rico.The firm was founded in 1984 and now manages money for more than 300,000 customers.
https://www.dobs.pa.gov/Consumers/Pages/File-a-Complaint.aspx
The Department of Banking and Securities requests that consumers attempt to resolve their complaints directly with the financial institution or licensee. If you are not satisfied with the response, a complaint may be filed with our Consumer Services Office.
https://www.chittorgarh.com/broker_complaints/hdfc_securities/1197/
HDFC Securities brokerage complaints report provide detail about the number of complaints received by the stock exchanges from the HDFC Securities customers. The HDFC Securities consumer complaints report analyzes the HDFC Securities online complaint data provided by BSE and NSE. This report shows the health of the broker.
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://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://www.ssb.texas.gov/securities-professionals/enforcement/file-complaint
Complaints relating to fraud or other violations of the Texas Securities Act or a Board rule or order not pertaining to a registrant may be submitted to the Texas State Securities Board in writing or by telephone. Upon receipt of a complaint, the agency will review the matter to determine whether further action by the agency is appropriate.
https://mn.gov/commerce/industries/securities/
Pursuant to Minnesota Statute § 80A.49, all securities offered or sold in Minnesota must meet requirements for “federal covered securities,” be registered with the Minnesota Department of Commerce, or be exempt from registration. Applications for registration of securities must meet disclosure requirements and merit review standards.
https://www.tn.gov/commerce/securities/investors/file-a-complaint.html
Any action we take on your complaint will be to enforce the Securities Act and Rules, not to recover investor funds. So, what happens next? Complete and sign the enclosed complaint form and return it to the Securities Division. Annuities are not securities under Tennessee law. Complaints involving annuities should be filed with the Insurance ...
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