"THE MORE PEOPLE THAT FILE THE BETTER"...imho
(SEC.GOV)
Investor Complaint Form
You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security. Please read our Privacy Act Notice to learn more about how we may use the information you send to us.
Please read Investor Bulletin: Investor Complaints for information on what we will do with your complaint and other options for resolving your complaint.
OMB Number: 3235-0547
Expires: October 31, 2020
Estimated average burden
hours per response: 0.25
Yes, send the form to the firm or company. No, do not send the form to the firm or company. If you choose "no", we will record your complaint in our database, but we cannot help you any further.
Tell Us About Yourself
* You must complete this information.
Title
* First name
Middle initial
* Last name
* Street address
Address (cont.)
* City
* State/Province
(required if US or Canada)
* Zip/Postal code
* Country
UNITED STATES
Daytime phone
Alternate phone
Fax
* E-mail
* Are you a
Tell Us About the Firm or Individual You Have a Complaint Against
Firm name
Type of firm
Broker, Advisor, or Salesperson
Street address
Address (cont.)
City
State/Province
Zip/Postal code
Country
Tell Us About Your Investment
Type of security
Security symbol
Name of
Issuer or
Security
Tell Us About Your Complaint
* Please describe your complaint in as much detail as possible, including the full name(s) on the account, the exact type of account, the dates of specific transactions or conversations, the name or ticker symbol of the security(ies) involved, and the names of all the people at the firm you have contacted about this complaint.
