Thursday, April 09, 2015 5:30:00 PM
I agree! Although a complaint can be sent to help@sec.gov, the SEC prefers that complaints and tips be submitted via via its Whistleblower portal which generates a TCR for their system. People filing complaints should include their own contact information (kept confidential) and as much detail as possible regarding the issue for which someone is submitting a tip or complaint including contact information of companies or individuals if available.
If I had bought PVEC stock and/or kept holding it because of the promised spin-off dividend of IMAG Group (fka Red Tide Defense) which was never issued or the more recent Series C preferred shares that were supposed to be convertible into $0.20 cash per share starting in Septemeber 2014, I would certainly submit a complaint to both the SEC and FINRA.
SEC Whistleblower Tips, Complaints and Refferals Portal:
https://denebleo.sec.gov/TCRExternal/disclaimer.xhtml
Video explanation of the SEC Whistleblower program and how to submit tips and complaints:
Complaints about dividends, manipulative trading, selective disclosure of material information, etc. should be reported to FINRA in addition to the SEC.
FINRA's Office of Fraud Detection and Market Intelligence (OFDMI):
http://www.finra.org/industry/ofdmi
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