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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
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.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.
https://www.sec.gov/complaint/question.shtml
May 12, 2017 · Investor Complaints. 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.
http://www.sec.gov.ph/lending-companies-and-financing-companies/complaints/
Complaints that are insufficient in form and in substance may cause the outright dismissal of your complaint. To avoid that: 1. Always fill out the Complaint Form completely and accurately. 2. Do not forget to attach all your evidence/proof to support your complaint. 3. Submit ONE COMPLAINT FORM PER RESPONDENT COMPANY. 4.
Sep 20, 2017 · Theft or misappropriation of funds or securities; Manipulation of a security's price or volume ; Insider trading; False or misleading statements about a company (including false or misleading SEC reports or financial statements) Failure to file required reports with the SEC; Bribery of, or improper payments to, foreign officials
https://www.sec.gov/whistleblower/submit-a-tip
The SEC treats all tips, complaints and referrals as confidential and nonpublic, and does not disclose such information to third parties, except in limited circumstances authorized by statute, rule, or other provisions of law.
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.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-48
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.
http://www.sec.gov.ph/message-us-4/
Contact UsCall Us Visit Us Message Us 2019Notice_iMessage The i-Message Mo is a web-based online application for lodging of public messages such reports on Fraudulent Transaction or Possible Violation, Inquiry, Feedback, Follow-up, and among others. This facility is an alternative venue where the investors, complainants, requestors and others are able to follow-up their queries, complaints ...
https://corporate.findlaw.com/law-library/securities-and-exchange-commission-division-of-enforcement.html
Securities and Exchange Commission Division of Enforcement Complaint Center. Find out more about this topic, read articles and blogs or research legal issues, cases, and codes on FindLaw.com. Securities and Exchange Commission Division of Enforcement Complaint Center - FindLaw
https://www.indeed.com/cmp/Securities-and-Exchange-Commission/reviews
Reviews from SECURITIES AND EXCHANGE COMMISSION employees about SECURITIES AND EXCHANGE COMMISSION culture, salaries, benefits, work-life balance, management, job security…4.1/5(62)
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.
Welcome to the official Website of Securities & Exchange Commission of Pakistan (SECP)! Read information about Laws, Licensing, Enforcement and Islamic Finance etc.
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.
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