WebIf you are considering filing a complaint against your broker, our SEC lawyers can help. To set up a free, comprehensive review of your broker complaint, please call (844) 689-5754 or contact us online today. With a main office in South Florida, we represent investors throughout the United States and North America. WebFile the complaint with FINRA no later than 30 days from the date it is received by the member firm Include a copy of the customer complaint, along with a detailed timeline of …
SEC Complaints: Filing a Complaint Against a Broker » Sonn Law Group
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WebFINRA and its information providers do not guarantee the accuracy, completeness or timeliness of the data. Individuals should not make investment or other financial decisions solely on the basis of this data. ... File a complaint about fraud or unfair practices. Small Firm Help Line. 833-26-FINRA (Mon-Fri 9am-6pm ET) Office of the Ombudsman. WebNov 2, 2024 · An investor begins the process by filing a formal complaint with FINRA. FINRA serves the complaint on the alleged wrongdoer and indicates that the defendant … Web5. Learn the Process Of Filing A Complaint To FINRA. If you have now decided to file a complaint, the first step is to fill up the FINRA investor complaint form. After they review the details you’ve sent, there will be arbitration and meditation to determine the possible settlement applicable to your situation. toy thunderbird