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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