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FINRA Offers Advice to Investors on When to File Complaints

In its latest podcast on investor education, FINRA provides guidance to investors on when they should file a complaint after a salesperson, brokerage firm or other industry professional has treated them unfairly. The podcast details the following four questions to consider before taking action:

  • Has the investor contacted the firm?

  • Has the investor been defrauded?

  • When is it time to file a complaint?

  • Is the investor seeking the return of money or securities?

Primary Sources

  1. Transcript of FINRA Podcast

Tags

Regulated Activities
Suitability and Consumer Protection
Regulated Entities
Broker-Dealers Traders / Investors / Counterparties
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / Security Exchanges / SIPC / Accountants
Sub-Author
FINRA