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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.
https://www.sec.gov/complaint/select.shtml
May 12, 2017 · Ask a question or report a problem concerning your investments, your investment account or a financial professional 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...
https://www.sec.gov/about/forms/formtcr.pdf
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM TCR TIP, COMPLAINT OR REFERRAL A. INFORMATION ABOUT YOU COMPLAINANT 1: 1. Last Name First M.I. 2. Street Address Apartment/ Unit # City State/ Province ZIP/ Postal Code Country 3. Telephone Alt. Phone E-mail Address 4. Occupation Preferred method of communication COMPLAINANT 2:
https://www.scribd.com/document/112704503/SEC-Complaint-Form
Form to be used in filing a complaint with the Securities Exchange Commission (SEC). Form to be used in filing a complaint with the Securities Exchange Commission (SEC).
https://www.sec.gov/complaint/question.shtml
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; Dividends; Fees, commissions or mark-ups
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
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
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
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://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. File a Complaint to the Securities and Exchange Commission Ghana - SEC Ghana. Please complete the online form for our action.
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.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.
https://www.investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-investor-complaints
Apr 19, 2017 · OIEA helps ensure that individuals and entities regulated by the SEC respond to investor complaints when appropriate. If an investor selects the option on the complaint form consenting to OIEA’s sending the complaint to the firm (“Yes, send the form to the firm….”), OIEA typically forwards the 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
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.
http://asc.alabama.gov/complaints.aspx
Please COMPLETE the complaint form, and return it to our office. Our ability to assist you will depend upon you giving us a complete and detailed statement including any misrepresentations made to you. MAIL OR DELIVER YOUR COMPLAINT TO: ALABAMA SECURITIES COMMISSION ENFORCEMENT DIVISION
https://com.ohio.gov/secu/
Instructions to Form CRS/ADV Part 3 state that broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Investment Advisers Act of 1940 (i.e., SEC-registered investment advisers) are required to deliver to retail investors a Form CRS/ADV Part 3.
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 ...
https://www.osc.gov.on.ca/en/contactus_index.htm
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