Posted On: 04/27/2013 9:38:59 PM
Post# of 45510
How will we handle your complaint?
We'll take the following steps when we get your complaint:
We will analyze your complaint and decide if we need to refer it to our Division of Enforcement, another SEC office, or another regulator's office. Our Division of Enforcement conducts investigations, but our office does not. The SEC generally conducts investigations confidentially. As a result, the SEC will neither confirm nor deny the existence of any investigation.
After analyzing your complaint, we will send a copy of the complaint to the brokerage firm or company. We'll ask the firm or company to send a written report to you and us that responds to your complaint.
We'll take the following steps when we get your complaint:
We will analyze your complaint and decide if we need to refer it to our Division of Enforcement, another SEC office, or another regulator's office. Our Division of Enforcement conducts investigations, but our office does not. The SEC generally conducts investigations confidentially. As a result, the SEC will neither confirm nor deny the existence of any investigation.
After analyzing your complaint, we will send a copy of the complaint to the brokerage firm or company. We'll ask the firm or company to send a written report to you and us that responds to your complaint.
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