WebDec 10, 2024 · You can contact a highly experienced stockbroker misconduct lawyer at Wolper Law Firm for more information about how to start with your FINRA arbitration claim. Give our office a call at 800.931.8452 or fill out the confidential contact form located below to schedule your free consultation at your earliest convenience. WebFeb 11, 2024 · Under Article V, Section 4, FINRA retains jurisdiction over an unregistered person for purposes of requesting documents, information, and testimony, and filing a complaint, for “two years after the date upon which such person ceased to be associated with the member.”. In the case of unregistered persons, the two-year period is absolute, …
How to File a Complaint against a Stockbroker - Wolper
WebYou can submit a complaint online through FINRA’s Investor Complaint Program. or by mailing your complaint to: FINRA Investor Complaint Program 9509 Key West Avenue Rockville, MD 20850-3329 Fax: (866) … WebIf you prefer to file your complaint offline, you may complete this printable complaint form and fax or mail it to us at the address noted at the end of the form. Please enter your … bus shelter advertising template
When must a complaint about a financial advisor be …
WebFile the complaint with FINRA no later than 30 days from the date it is received by the member firm Include a copy of the customer complaint, along with a detailed timeline of … WebFile a Complaint. Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from … WebThe first document an investor, or Claimant, must file to start the arbitration process is the Statement of Claim. This document or pleading filed with FINRA states the facts and allegations that are being stated. Drafting this document requires skill, experience, and nuance. It's similar to what one would file in State and Federal court. bus shelter advertising peterborough