Filing an Investor Complaint

Friday, April 22, 2016

Most business in the securities industry is done fairly and efficiently, but problems can arise. If you believe that a sales person, brokerage firm or other industry professional has treated you unfairly, you can file a complaint with FINRA. Before you file a complaint, here are four questions to ask yourself.

Find us: Twitter / Facebook / LinkedIn / E-mail

Subscribe to our show on Apple Podcasts, by RSS, or wherever you listen to podcasts.

Note: It may take a moment for the podcast to start after clicking "Play" depending on the size of the podcast and the speed of your connection. Please be patient while it loads.