Questions about your Investments and their Progress

  • How frequently do I get statements? Do I understand what the statement tells me?
  • Is the return on my investment meeting my expectations and goals? Is this investment performing as I was led to believe?
  • How much money will I get back if I sell my investment today?
  • How much am I paying in commission or fees?
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  • Have my goals changed? If so, are my investments still suitable?
  • What criteria will I use to decide when to sell?
How to Handle Problems:

Act promptly! By law, you only have a limited time to take legal action. Follow these steps to solve your problem:

  1. Talk to your financial professional and explain the problem. Where is the fault? Were communications clear? Refer to your notes. What did the financial professional tell you? What do your notes say?
  2. If your financial professional can't resolve your problem, then talk to the financial professional's supervisor (which, for brokers, is often the firm's branch manager).
  3. If the problem is still not resolved, write to the compliance department at the firm's main office. Explain your problem clearly, and how you want it resolved. Ask the compliance office to respond to you within 30 days. If you're still not satisfied:
  4. Send us your complaint by using our online complaint form or you can reach us as follows:

Securities and Exchange Commission
Office of Investor Education and Assistance
100 F Street, N.E.
Washington, D.C. 20549-0213

The SEC will research your complaint, contact the firm or person you have complained about and ask them to respond to your specific complaint or question. Sometimes [their] intervention yields a satisfactory result. If these steps don't work, you may need to take legal action on your own. [They] can send you information on mediation and arbitration, and suggest how to locate a lawyer if you need one.

Investor Tip

When you ask these questions, write down the answers you receive and what you decided to do. If something goes wrong, your notes can help to establish what was said. Let your financial professional know you're taking notes. They'll know you're a serious investor and may tell you more.