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The SEC (Securities and Exchange Commission) When a boker has mishandled your funds, you have a couple of Federal and national agencies to complain to. The first is the NASD (National Association of Securities Dealers) Investor Complaint Center located at http://www.NASD.com. The second is the SEC ( Securities Exchange Commission)Center for Complaints located at http://www.sec.gov/complaint.shtml. When selecting a broker always check their credentials and background with the NASD. The first place I would suggest you go to would be your broker's manager. Doing so first could clear up any misunderstandings before wasting your time going through the headache (and believe me it is) of contacting the SEC only to find out your dispute may or may not be something they would investigate. --- Of course I have no idea what your dispute is or what you mean by "mishandled" your funds. --- Are you not getting the returns you expected? Or did s/he guarantee a certain level of performance? The former may not be a dispute the SEC may handle for you. The latter is more along those lines. --- Are you not getting the service you were promised? Do you feel you are in the wrong types or mix of investments for your set of objectives and level of risk tolerance? Again the first is probably not going to be taken care of by the SEC where the second would be. --- The bottom line is this: has this issue directly caused a loss of money due to negligence or fraud or is it a more indirect lack of service? Money is a very emotional topic, especially a loss of money. Take a step back and look at whether you are simply dissappointed in performance or justified because someone did something wrong. --- In any case, you will get much farther by starting with your brokers manager before escalating to the SEC. Having said that, as the other two have answered, the SEC is there to settle these types of issues. You should absolutely contact them if you are not satisfied with what your broker's manager has to say.
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Online Broker?
form_title=Hire an Online Broker form_header=An online broker can help manage your funds. Have you ever used an online broker service before?= () Yes () No What is the approximate amount of funds you have or plan to have invested?=_ What features do you want from the online broker?=_
Where can one find more information on mutual funds from Fidelity?
Information on mutual funds offered by Fidelity can be found through their main website. If you prefer a more personal outlook on these things, you may want to contact a local insurance broker in your town.
Where can one contact a credit insurance broker?
There are many ways one might contact a credit insurance broker. In addition to visiting the local broker's office, one might find contact information on the company website.
Who provide funds or capital for the organization?
a) customar b)owner c) broker
How do no load mutual funds work?
No load mutual funds are mutual funds that are sold directly by the investment company instead of by an investment broker. They work exactly the same as regular mutual funds.
What if administrator of will dies then you find out she mishandled funds can you go after bank?
The bank isn't responsible for the management of funds. You would need to pursue the administrator's estate.
Online Broker?
form_title=Hire an Online Broker form_header=An online broker can help manage your funds. Have you ever used an online broker service before?= () Yes () No What is the approximate amount of funds you have or plan to have invested?=_ What features do you want from the online broker?=_
Where is a reputable place to purchase mutual funds?
While a broker is not always necessary to purchase mutual funds, if you do not have a lot of background in mutual funds it may be a wise decision. A broker can help you invest wisely.
Where can one find more information on mutual funds from Fidelity?
Information on mutual funds offered by Fidelity can be found through their main website. If you prefer a more personal outlook on these things, you may want to contact a local insurance broker in your town.
Where can one contact a credit insurance broker?
There are many ways one might contact a credit insurance broker. In addition to visiting the local broker's office, one might find contact information on the company website.
Who provide funds or capital for the organization?
a) customar b)owner c) broker
Who should you contact when you suspect misappropriation of funds?
Who should you contact when you suspect misappropriation of funds?
How do no load mutual funds work?
No load mutual funds are mutual funds that are sold directly by the investment company instead of by an investment broker. They work exactly the same as regular mutual funds.
How do you get leverage trading futures?
Contact your broker.
Where can a person purchase mutual funds?
any registered broker from a bank or credit union with brokerage services from a broker managing retirement accounts at the workplace
What is forex mutual funds exactly?
Forex mutual funds trade foreign currencies,are very liquid and difficult for individual investors to access. Look for a broker that specializes in these funds.
How can mutual funds be easily purchased and sold?
Through an online broker is one way.
