Friday, September 29, 2017 5:49:09 AM
It’s time to hunt the leaders down with AEPT to investigate.
http://www.finra.org/investors/investor-complaint-center
FINRA investor center
Home for InvestorsHave a Problem?File a Complaint
Investor Complaint Center
(Centro de Reclamo para el inversionista)
Before you proceed:
Contact the firm. Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm.
Read our Investor Complaint Brochure. It contains information on what we will do with your complaint, your legal rights and options you have for resolving your complaint.
Review our Questions to Ask. There can be no assurances that any action taken by FINRA will result in a payment or return of funds or securities to you even where formal disciplinary actions are taken and sanctions imposed. Relying exclusively on the outcome of FINRA's investigation may close other avenues of redress if you wait too long to proceed. You may wish to review information on FINRA's Arbitration & Mediation Programs.
Problems addressed by FINRA:
Buy or sell orders
Brokerage firm or broker
Insider trading
Manipulation of security price or volume
Account transfer
401(k), pension or retirement plan
Investment adviser/financial planner
Other - Complaints other than those noted in the sections below
(See Definitions Below)
FINRA Investor Complaint Center
9509 Key West Avenue
Rockville, MD 20850-3329
Phone: (240) 386-HELP (4357)
Fax: (866) 397-3290
Problems addressed by the SEC:
SEC filing or report
Public companies
Transfer agent
File a complaint with the SEC.
Securities and Exchange Commission
Complaint Center
100 F Street, NE
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