Sales Practice Abuses

Investors sometimes contact us with complaints about their brokers. The most common sales practice abuses we hear about involve:

Suitability

Churning

Unauthorized Transactions

For further information, please read our brochures on other abusive sales practices - Cold Calling and failure to disclose Mutual Fund Breakpoints. If you believe your broker has engaged in these or another sales practice abuse, please send us your complaint using our online complaint form.

http://www.sec.gov/answers/salesabuses.htm