<font color=green>"Advice From Securities Industry Regulator"
cboe.com
Find Regulator-- NASAA Member Representative List:
nasaa.org
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>>> If You Have A Problem
If you have a problem with your sales representative or your account, promptly talk to the sales representative's manager or the firm's compliance officer.
Confirm your complaint to the firm in writing.
Keep written records of all conversations.
Ask for written explanations.
If the problem is not resolved to your satisfaction, contact the appropriate regulators listed on the bottom of this document.
Investor complaint information assists these regulators in identifying violations of the securities laws and prosecuting violators. However, none of these organizations is authorized to provide legal representation to individual investors or to get your money back for you.
Obtain information on using arbitration to resolve your dispute by contacting the NASD, New York Stock Exchange, American Stock Exchange, Municipal Securities Rulemaking Board, Boston Stock Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, Pacific Stock Exchange, or Philadelphia Stock Exchange. Each of these organizations operates a forum to resolve disputes between brokerage firms and their customers. It may be desirable to consult an attorney knowledgeable about securities laws. Your local bar association can assist you in locating a securities attorney.
Securities Regulators To Contact
U.S. Securities and Exchange Commission
450 5th Street, NW
Washington, DC 20549
Office of Consumer Affairs
(202) 942-7040
TTD (202) 942-7065
North American Securities Administrators Association, Inc.*
Suite 310 One Massachusetts Avenue, NW
Washington, DC 20001
(202) 737-0900
* NASAA can provide you with the telephone number of your state securities regulator.
American Stock Exchange
86 Trinity Place
New York, NY 10006-1881
(212) 306-1452
Boston Stock Exchange
One Boston Place
Boston, MA 02108
(617) 723-9500
Chicago Board Options Exchange
400 S. LaSalle
Street Chicago, IL 60605
(312) 786-7705
Chicago Stock Exchange
440 S. LaSalle Street
Chicago, IL 60605
(312) 663-2222
Cincinnati Stock Exchange
36 East Fourth Street, Suite
906 Cincinnati, OH
45202 (312) 786-8898
Municipal Securities Rulemaking Board
1818 N Street, NW
Suite 800 Washington, DC 20036-2491
(202) 223-9347
National Association of Securities Dealers, Inc.
The Nasdaq Stock Market
1735 K Street, NW
Washington, DC 20006-1500
301) 590-6500
New York Stock Exchange
20 Broad Street
22nd Floor
New York, NY 10006
(212) 656-3000
Pacific Stock Exchange
301 Pine Street
San Francisco, CA 94104
(415) 393-4000
Philadelphia Stock Exchange
1900 Market Street
Philadelphia, PA 19103
(215) 496-5000 <<< |
