File lawsuit against a trades brokerage accounts

The Division of Enforcement generally conducts investigations on a confidential basis. As a result, OIEA will not confirm or deny the existence of an investigation and will not update an investor on the status of a complaint. The SEC often makes its files, including complaint information, available to other government agencies. Federal and state securities laws provide investors with important legal rights and remedies that may apply to a dispute with an individual or entity regulated by the SEC.

You can seek to resolve a complaint through the courts, arbitration, or mediation. You may want to hire a lawyer who specializes in securities law. FINRA can help you resolve a conflict with a financial services professional. To learn more, read Initiate an Arbitration or Mediation. Securities and Exchange Commission. You can submit an investor complaint form to OIEA to report problems with investments, an investment account, or a financial professional, including problems involving: Illustrative list of nature of complaints that would not be handled by Investor Services Cell are as under:.

I have an opened a trading account 2 march account no is Clint code is JANAK branch janakpuri with Angel Broking to get start with trading. While opening an account,sir i cant received any document with angel broking.

It was accepted by me. I came to know this after I asked for clarification, no satisfactory answers were given. Now I wanted to file complaint against them? Your email address will not be published. Notify me of follow-up comments by email. Notify me of new posts by email. Marketcalls is a small research blog and one the most readed trading blog.

Started during 11th September which talk about Intelligent Trading analysis, Trading strategies. If you have a problem with or have been mistreated by your stockbroker, investment adviser or brokerage firm FRAUD. Keep in mind that, in most cases, regulators will not be able to get your money back.

Complain directly to the brokerage or investment advisory firm in writing and keep a copy for your own records. Keep a copy of the complaint in your records. Follow-up immediately if you do not receive a satisfactory response to your complaint. If you get no response to your letter or you feel like the firm is stalling you should complaint to the appropriate Exchange Where one can file a complaint?

Complaints against Exchange Members: