Author Topic: Investor Complaints  (Read 1326 times)

Investor Complaints
« on: April 27, 2013, 03:38:17 AM »


  • Jedi NITE Killer
  • Posts: 8561
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
    • Delivery of funds or securities
    • Dividends
    • Fees, commissions or mark-ups
    • Inaccurate or misleading disclosures by financial professionals
    • Margin
    • Suitability
    • Opening, transferring or closing an account or redeeming or transferring mutual funds
    • 401(k), pension plans or retirement accounts
    • Other problems with investments or investment accounts
     Investor Questions To  ask a question or request information, use the investor question form