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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.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.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.
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
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
How to File Complaints and Report Fraud to the SEC by Craig McGuire 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 .Author: Craig Mcguire
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 …
https://www.sonnlaw.com/faq/sec-complaints-filing-complaint-broker/
The SEC allows all members of the public to file a broker complaint electronically. To do so, you will need to use the official Securities and Exchange Commission Investor Complaint Form. This form generally takes between 30 and 90 minutes to complete, and it asks for: Basic personal identifying information; Background information on your broker; A description of the nature of the complaint ...
https://www.justice.gov/actioncenter/submit-complaint
Aug 15, 2018 · Submit a Complaint. Discrimination Complaint against DOJ employee or DOJ funded organization: Discrimination. The Civil Rights Division is the primary institution within the federal government responsible for enforcing federal statutes prohibiting discrimination on the basis of race, sex, disability, religion, and national origin. ...
https://ilsos.gov/ContactFormsWeb/secdeptcomplaintform.jsp
Please complete the following information to submit a complaint about a company or individual. The Securities Department will investigate your complaint and, if violations of the law are discovered, your complaint may lead to administrative, civil or criminal action.
https://www.finra.org/investors/have-problem/file-complaint
Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a sales person, brokerage firm or other industry professional has treated you unfairly, contact the firm to see if you can resolve the issue. If you are still not satisfied with the firm's response, you can file a complaint with ...
https://www.bloomberg.com/news/articles/2017-10-31/adp-to-submit-sec-complaint-against-ackman-as-fight-heats-up
Oct 31, 2017 · ADP said Tuesday it will file a complaint with the U.S. Securities and Exchange Commission over an 18-page letter billionaire activist investor Ackman sent …
https://sec.govcomhotline.com/
OIG Evaluation. The OIG will evaluate your complaint and determine an appropriate course of action. Options include opening an OIG review (audit, evaluation or investigation); referring the matter to a SEC Division or Office for review and corrective action, if warranted; referring the matter to another Federal agency; or taking no action (allegations that do not involve a potential violation ...
https://en.wikipedia.org/wiki/SEC_Office_of_the_Whistleblower
Below are the ways SEC Office of the Whistleblower communicates with whistleblowers after they submit an award application to the SEC: An acknowledgement or deficiency letter is sent to all applicants indicating whether the whistleblower's application is procedurally correct.
https://www.performantcorp.com/support/submit-an-inquiry-or-complaint/default.aspx
To opt-in for investor email alerts, please enter your email address in the field below and select at least one alert option. After submitting your request, you will receive an activation email to …
https://sec.gov.gh/public-notice-on-extension-of-deadline-for-submission-of-investment-claims-with-fund-management-companies-whose-licences-have-been-revoked/
Dec 20, 2019 · Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management Companies (“FMCs”) after which investors were invited to submit their claims from 18th November 2019.
https://www.nyse.com/regulation/complaints-and-inquiries
Below are links to regulators that may have jurisdiction to address complaints and inquiries that fall outside NYSER's purview. Click on a link below if your complaint or inquiry concerns: Order execution, insider trading or market manipulation on NYSE, NYSE American, or …
https://securities.sos.in.gov/fileComplaint/
Please select the subject matter that you feel best describes your complaint: (Select a value) Securities/Investments Loan Broker Franchise Collection Agency Takeover Offers …
https://portal.ct.gov/DOB/Consumer/Consumer-Complaints/Securities-BD-IA
Submit the following complaints to the Department of Banking using the Online Consumer Assistance Form: Securities Brokerage Firm or Investment Adviser Firm and their representatives, issuers of securities, mutual funds, public companies, and Business Opportunities with a CT nexus (see complaint notice and examples at the beginning of this ...
https://www.hud.gov/faqs/complaints
Answer: You can file a complaint right online! Or you can call the Housing Discrimination Hotline: (800) 669-9777. How do I report possible fraud in a HUD program? Answer: If you are aware of fraud, waste, and abuse in HUD programs and operations, report it to HUD's Hotline! You can file a complaint online or via phone, fax, or mail.
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