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How do I file a complaint about an adviser or broker?
An investor who has a concern or complaint about their adviser should take the following steps:
- Contact the adviser directly. Be sure to make detailed notes of any conversations. If there has been a miscommunication or administrative error, it may be easily fixed.
- Write to the branch manager with a copy to the firm’s compliance officer.
- If you are unable to resolve the issue with your adviser or are not comfortable raising the issue, you should contact the branch manager or compliance officer to see what may be done.
- If you are still unsatisfied, contact your local regulator.
How do I report a scam or suspicious investment?
Feeling uncomfortable about an investment you’ve been considering? Not sure if you should believe your friend when he or she says the opportunity is too good to be missed?
If you are unsure whether to report, give yourself some peace of mind. Research the particular company or individual that is offering the investment.
Only you can ensure that you are making an informed decision.
LEGAL AND PRIVACY POLICIES
The information on the BrokerComplaints Website is general in nature, does not address the circumstances of any particular individual and is not intended as a substitute for personalized investment, financial, tax and legal advice. BrokerComplaints is not a fiduciary by virtue of any investor’s use of or access to the information on the BrokerComplaints website. You assume the sole responsibility of evaluating the merits and risks associated with the use of any information on the BrokerComplaints Website.
The use of a trademark in domain names associated with a website criticizing the trademark owner does not constitute cybersquatting under federal law, the U.S. District Court for the Eastern District of Michigan held Feb. 26 (Career Agents Network Inc. v. careeragentsnetwork.biz).