Finra Complaint Broker Dealer: Holding Firms Accountable - CGAA

Finra takes complaints against broker-dealers very seriously, with a dedicated team of investigators and examiners working to protect investors and hold perpetrators accountable. In …

CouponFollow Extension

$11
OFF

Investors File Claim Against Fidelity Over Lax Supervision Of RIA

3 weeks from now

1 day ago · Several investors claim Fidelity Brokerage Services “failed to protect its customers” when an advisor lost his clients $11.1 million in risky investments using its platform.

wealthmanagement.com

FAQs about Finra Complaint Broker Dealer: Holding Firms Accountable - CGAA Coupon?

Can FINRA take disciplinary actions against brokers?

FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions. Before you file a complaint with FINRA, contact your firm. ...

What happens if I file a complaint with FINRA?

Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.Before you file a complaint with FINRA, contact your firm.Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. ...

How do I complain about a brokerage firm?

Retain copies of your letter and of all other related correspondence with the brokerage firm. If you are still not satisfied with the firm's response, you can send a complaint to FINRA. A written complaint to the firm, or submitted directly to FINRA, will not appear in BrokerCheck unless it meets certain criteria. ...

How does FINRA handle customer complaints?

ith accordingly.Avoiding double-countingIn an effort to stave off the double counting of customer complaints, FINRA only considers the complaints that member f rms self-report through the Firm Gateway. Should a customer file a complaint directly with FINRA, they will forward the complaint on to the f ...

What is FINRA's complaint program?

(Presentar una queja) 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 the securities industry or other appropriate sanctions. ...

What if I have a problem with a brokerage firm?

FINRA has jurisdiction over most brokerage firms and their employees and associate persons. If you have a problem with an investment adviser, transfer agent, mutual fund company or public company, you may want to file a complaint with the SEC or your state securities regulator. ...