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Investor Complaints
If you have a problem with your investments, investment account, or a financial professional (examples are listed below), use our investor complaint form to provide us your information.
- Order handling, trade execution, confirmations
- Delivery of funds or securities
- Dividends
- Fees, commissions or mark-ups
- Inaccurate or misleading disclosures by financial professionals
- Margin
- Suitability
- Opening, transferring or closing an account or redeeming or transferring mutual funds
- 401(k), pension plans or retirement accounts
- Other problems with investments or investment accounts
Investor Questions
To ask a question or request information, use the investor question form.
http://www.sec.gov/complaint/question.shtml
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