Author Topic: Investor Complaints  (Read 1199 times)

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

JT

  • Jedi NITE Killer
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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
    [/list]
     Investor Questions To  ask a question or request information, use the investor question formhttp://www.sec.gov/complaint/question.shtml