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 at the end 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.

Advertiser Links for Investor Relations
[what's this?]

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 Investor Education and Assistance

North American Securities Administrators Association, Inc.
Suite 710
10 G Street, NE
Washington, DC 20002
(202) 737-0900

Each state has its own securities regulator. You can find your regulator at the website of the North American Securities Administrators Association.

American Stock Exchange, Inc.
86 Trinity Place
New York, New York 10006
(212) 306-1452

Boston Stock Exchange, Inc.
One Boston Place
Boston, MA 02108
(617) 723-9500

Chicago Board Options Exchange, Inc.
400 LaSalle Street
Chicago, IL 60605
(312) 786-7705

Chicago Stock Exchange, Inc.
400 LaSalle Street
Chicago, IL 60605
(312) 663-2222

Cincinnati Stock Exchange, Inc.
205 Dixie Terminal Bldg.
Cincinnati, OH 45202
(513) 621-1410

International Securities Exchange
60 Broad Street
New York, NY 10004
(212) 943-2400

Municipal Securities Rulemaking Board
1818 N Street, NW
Washington, DC 20036
(202) 223-9347

National Association of Securities Dealers, Inc.
1735 K Street, NW
Washington, DC 20006
(202) 728-8000

New York Stock Exchange, Inc.
11 Wall Street
New York, NY 10005
(212) 656-3000

Pacific Stock Exchange
301 Pine Street
San Francisco, CA 94104
(415) 393-4000

Philadelphia Stock Exchange, Inc.
1900 Market Street
Philadelphia, PA 19103
(215) 496-5000