What to Do If You Suspect Fraud or Manipulation in an OTC Security:
If investors suspect fraud or manipulation in an OTC security, they should contact the appropriate regulators immediately. Email, send a letter or call any of the regulators that oversee the securities industry. Include in your letter copies of any important documents or letters you've already written to resolve your complaint.
If you believe that you have been defrauded by a broker, securities firm, investment advisor, or other securities professional, you should file a customer complaint or a regulatory tip with FINRA Regulation.
If you believe that you have been defrauded by an issuing company or a stock promoter, you should file a complaint with your State Securities Regulator or contact the U.S. Securities and Exchange Commission (SEC) Office of Investor Education and Assistance.
Securities Regulators for the OTC markets
The U.S. Securities and Exchange Commission (SEC) is an independent, nonpartisan, quasi-judicial regulatory agency with responsibility for administering the federal securities laws. The purpose of these laws is to protect investors in securities markets that operate fairly and to ensure that investors have access to disclosure of all material information concerning publicly traded securities. The Commission also regulates firms engaged in the purchase or sale of securities, people who provide investment advice, and investment companies. Investors should contact the SEC's Office of Investor Education and Assistance. You can send them your complaint by using their online complaint form or contact the nearest regional or district office. SEC's Office of Investor Education and Assistance has offices in New York, Washington D.C., Boston, Philadelphia, Miami, Atlanta, Chicago, Denver, Fort Worth, Salt Lake City, Los Angeles, and San Francisco.
http://www.sec.gov
FINRA Regulation Inc. (FINRA) is an independent subsidiary of the FINRA that regulates most securities firms and brokers. FINRA regulates the activities of broker/dealers in the over-the-counter industry and the Nasdaq Stock Market. FINRA carries out its regulatory responsibilities through education, examinations, market surveillance, registration of securities personnel, advertising and underwriting reviews, disciplinary actions of parties that violate rules, investigation of customer complaints, and forums to resolve disputes. FINRA also regulates the sale of mutual funds, direct participation programs, and variable annuities. To lodge a complaint against a broker/dealer, contact the nearest office of the FINRA or fill out a complaint form on the FINRA's website.
http://www.finra.org
North American Securities Administrators Association (NASAA) is a voluntary association with a membership consisting of the 65 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Canada, Mexico, and Puerto Rico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for grass-roots investor protection and efficient capital formation. NASAA has an e-mail address for investors to report suspected Internet fraud. It is cyberfraud@nasaa.org. The Internet Neighborhood Watch program; where investors look out for themselves and their neighbors on the Net and alert regulators when they see something suspicious. NASAA will refer complaints to the proper state regulators, the SEC, FINRA Regulation and the Federal Trade Commission, whichever is appropriate. When sending a complaint, investors should forward the suspect message, give the Web site, if appropriate, and include the name of the state in which they live.
http://www.nasaa.org
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