InvestorsHub Logo
Followers 0
Posts 941
Boards Moderated 0
Alias Born 04/26/2004

Re: None

Tuesday, 05/02/2006 9:17:54 AM

Tuesday, May 02, 2006 9:17:54 AM

Post# of 5729
For those interested in discussing formally any complaints against the MMs, here is the following data.

Investor Complaint Center

With the help of investors, NASD has been successful in disciplining brokers and firms that have violated securities rules and regulations. We appreciate your willingness to take the time and effort to assist us in collecting the necessary evidence to enforce securities rules and regulations, which helps us to protect investors. NASD and other regulatory agencies are far more effective with your cooperation and assistance. Together, we can ensure that America's securities markets remain the most ethical and respected in the world.


If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with NASD.


https://apps.nasd.com/Investor_Information/Complaints/complaintCenter.asp

SEC.........................


https://tts.sec.gov/acts-ics/do/complaint
Join InvestorsHub

Join the InvestorsHub Community

Register for free to join our community of investors and share your ideas. You will also get access to streaming quotes, interactive charts, trades, portfolio, live options flow and more tools.