Please be aware that the I&E Team cannot investigate your complaint without appropriate background information. In order to expedite our ability to respond to your concern, your tip or complaint should provide information that includes the following, if applicable:
A clear, concise summary of the complaint or inquiry The security’s name and its ticker symbol Names of the member firm and/or associated person Date of the trade(s) Specific order information, including order type (buy, sell, limit price or market order, etc.) and order size If you do not wish to remain anonymous, provide your full name, address, telephone number and e-mail address.
If applicable, please identify when and by whom the matter may have been previously referred or reviewed.
Requests are typically handled in the order in which complete information is received. We cannot process requests without complete information.
Please be sure to keep copies of any correspondence for your records, along with originals of any documentation.
Please note the I&E Team will not share the details of its investigations or regulatory methodologies with complainants and it does not offer incentives of any kind in exchange for this information. The I&E Team shall investigate possible violations within the disciplinary jurisdiction of the Nasdaq whenever the I&E Team determines in its sole discretion that there is a reasonable basis for it to do so.