Make a Complaint - SEC - Securities and Exchange Commission

Action to date *

Yes, I have previously lodged or registered this dispute with the Securities and Exchange Commission
No, this is the first time I have lodged or registered this dispute with the Securities and Exchange Commission

Applicants Country of Residence *

Applicants First Name *

Applicants Family Name *

Applicants Email *

Applicants Phone Number *

Name of The Broker You Have Dispute With *

Please provide a reference number so that your financial services provider can locate the correct information *

Please describe the nature of your complaint. *

Please include as much information as you can, including the type of product involved, the dates the problem occurred, the name, address and telephone number (if you know these) of all individuals and firms involved and a description of the problem (please attach a separate page if you need more space than provided)

Please do not submit the following information:

Personal ID documents: passports, driver’s licenses or other forms of personal identification
Financial documents: bank statements, debit/credit card details
Login information: usernames or passwords for trading, banking or other accounts

Please note: Securities and Exchange Commission
representatives will never ask you for your personal or financial details in the process of handing client disputes

Please do not submit the following information:

Please note: ­Securities and Exchange Commissionrepresentatives will never ask you for your personal or financial details in the process of handing client disputes

Please note: Securities and Exchange Commission
representatives will never ask you for your personal or financial details in the process of handing client disputes