If you suspect your broker is guilty of serious
violations of securities law, you can contact the Securities and
Exchange Commission (SEC).
The Office of Investor Education and
Assistance provides detailed instructions on how to file a complaint.
You can find their Web site at www.sec.gov/investor.shtml. You
can get information about mediation from the Financial Industry Regulatory Authority (FINRA) by visiting their
Web site at www.finra.org or calling their Office of
Dispute Resolution at 212-858-4200.
Contact either NASDR or the New York Stock
Exchange (at www.nyse.com/home.html) to learn the procedures for
filing and pursuing an arbitration claim. You may file your claim
with any self-regulatory organization of which the firm is a member,
or with an independent arbitration forum, such as the American
Arbitration Association, if your customer account agreement allows
you to do so. You can find their Web site at www.adr.org.
