SEC REPORT FILE CLAIM UPDATE
SEC REPORT FILE CLAIM PROFESSIONAL

OIEAвЂ™s principal use of information from an investor complaint is to resolve the complaint, but OIEA may also share the information with other Offices and Divisions in the SEC or outside of the SEC where appropriate.

SEC REPORT FILE CLAIM UPDATE

OIEA may refer an investor complaint to other Offices or Divisions within the SEC, including the Division of Enforcement.В The Division of Enforcement generally conducts investigations on a confidential basis.В As a result, OIEA will not confirm or deny the existence of an investigation and will not update an investor on the status of a complaint. If an investor selects the option on the complaint form consenting to OIEAвЂ™s sending the complaint to the firm (вЂњYes, send the form to the firmвЂ¦.вЂќ), OIEA typically forwards the complaint, requesting the firm to send a written report to the investor and to OIEA that addresses the issues raised.В However, the SEC cannot act as an investorвЂ™s attorney or personal representative. OIEA helps ensure that individuals and entities regulated by the SEC respond to investor complaints when appropriate. To provide the SEC with information about fraud or wrongdoing involving potential violations of the federal securities laws, use the Tips, Complaints and Referrals Portal. OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint.В You should reference this file number when contacting OIEA. Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street, N.E., Washington, DCВ 20549-0213. You also may send OIEA copies of documents, letters, and other materials you believe would be helpful in understanding your complaint, but do not send originals.В The copies may be emailed to faxed to (202) 772-9295, or mailed to U.S. Opening, transferring, or closing an account, or redeeming or transferring mutual funds.Suitability, or excessive trading or other account abuses and.Inaccurate or misleading disclosures by financial professionals.Order handling, trade execution, or confirmations.You can submit an investor complaint form to OIEA to report problems with investments, an investment account, or a financial professional, including problems involving: OIEA receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. The SECвЂ™s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute. Public Service Campaign (new) вЂ“ вЂњInvestomaniaвЂќ.Required Minimum Distribution Calculator.

SEC REPORT FILE CLAIM PROFESSIONAL

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Sec report file claim