Tuesday, October 06, 2009 10:15:29 AM
I am confirming that we received your complaint concerning Scottrade.
We take investor complaints very seriously and try, whenever
possible, to provide some form of assistance.
We have sent your complaint to the firm’s compliance department and
asked them to respond directly to you. We also asked the firm to
send us a copy of their letter to you. Please understand that this
process may take two to four weeks.
Our efforts to facilitate informal resolutions of complaints often
succeed. But, in some cases, it remains unclear whether any
wrongdoing occurred, or the dispute boils down to one person’s word
against another’s. If that happens, we cannot act as your personal
representative or attorney, and you will then have to decide whether
you want to pursue legal action on your own. The following portion
of this email outlines the steps you may wish to take if you choose
that option, and includes information on arbitration, mediation, and
sources of potential legal assistance. Please read this information
carefully. It describes your rights and important deadlines.
Please do not hesitate to contact me if you have any questions.
Sincerely,
Ms. Kerry McGovern
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
(202)551-6320
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