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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.

Modified: 03/04/2011