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Reply to "Suspect fraud in brokerage account -- where to get help?"
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[quote=Anonymous][quote=Anonymous]Go to their main website. The bottom of the page somewhere will state their regulator. Contact them. I thnk it's the SEC but it may be the NASD.[/quote] OK, it looks like it's the SEC (lots of fine print there, but it seems to be the SEC). Now, the SEC is huge. Any suggestions where to start? What division? I don't know the jargon, don't have a clue what type of person/division to ask for. What about licensing for the broker? Would that be the state's licensing board? (this is NY, btw). Do they investigate complaints about brokers? And if the money has been put back, is there a complaint anyway? Ie, possible illegal activity, but no actual damages. Please, keep the suggestions coming ! TIA! [/quote]
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