Tuesday, February 23, 2016 9:56:59 AM
FINRA has jurisdiction over virtually all
brokerage firms and their employees and
associated persons. If you have a problem with
an investment adviser, transfer agent, mutual
fund or public company, you may want to file a
complaint with the SEC or your state securities
regulator
https://www.finra.org/sites/default/files/InvestorDocument/p011944.pdf
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