Rat, here is some SEC info for interested ERBB participants.gl:
"What Information Should I Provide?
We can best respond to you if we receive accurate and complete information. Though you are not required to furnish any more information than you wish, critical information for us to completely evaluate your complaint or tip includes:
Your name, mail and email addresses, and telephone numbers.
The name, mail and email addresses, telephone numbers, and website address of any individual or company you mention in the complaint.
If you have a complaint about a security or a securities salesperson, specific details of how, why, and when you were defrauded or encountered problems with investments or your broker or adviser.
What Happens After I Send Information to the SEC?
We thoroughly review and evaluate your information so that we may refer it to the appropriate SEC office. The Office of Investor Education and Advocacy will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant's personal financial matters. The professionals in this office can counsel you regarding possible remedies and may, under appropriate circumstances, approach brokerage firms, advisers or other financial professional concerning matters you have raised.
Attorneys in the Division of Enforcement evaluate information and tips concerning violations of the federal securities laws. It is the general policy of the SEC to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SEC determines that enforcement action is not necessary or appropriate.
Subject to the provisions of the Freedom of Information Act, the SEC cannot disclose the existence or non-existence of an investigation and any information gathered unless made a matter of public record in proceedings brought before the SEC or in the courts. You can find information about public enforcement actions on our Web site."
