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fourkids_9pets

01/04/12 3:24 PM

#152527 RE: azs #152523

anyone can file a complaint against their
broker with both the sec and finra

not sure if i'm following this correctly

but if one has a full service brokerage firm
and said firm has issues getting bids filled
for JBII .. that firm can also file a complaint
with the sec and finra (forms on respective websites)

i know for a fact these broker filed complaints
(against a MM) are *handled* differently
than just your avg joe/jane *retail* doing the same
(by the sec at least)

my interaction with finra is slightly different than it is with
the sec

==
4kids
all jmo