SEC Complaints https://www.sec.gov/tcr# FINR
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Posted On: 07/25/2019 11:54:15 AM
SEC Complaints
https://www.sec.gov/tcr#
FINRA
Bill McKay needs to be held responsible for all the con games he’s played.
This guy, Cameron Funkhouser, is a bulldog - he heads up FINRA’s Office of Fraud Detection and Market Intelligence. If you can get in touch with him....that’s the hardest part.
http://www.finra.org/industry/ofdmi
Here’s a number to call at the SEC: Investor Information and Complaints (800) SEC-0330 or (202) 551-6551
This is most likely everyone’s best bet. You may also want to talk to the Ombudswoman, she will listen intently and she follows through. She doesn’t just pass the buck. If she feels someone will be best suited to handle your problem/concerns, she’ll direct you:
Tracey L. McNeil
Email: Ombudsman@sec.gov
Phone: (202) 551-3330
Toll-free: (877) 732-2001
”The Ombudsman helps retail investors who are unsure about how to handle their concerns, feel they have exhausted all other SEC resources, or want to discuss their matter confidentially.
Those we have helped include investors seeking information about Fair Fund distributions to investment fraud victims, individuals having difficulty accessing public company data, and investors with questions and concerns about the Financial Industry Regulatory Authority (FINRA) arbitration process.
The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC.
Where an established SEC resolution channel or process exists to address your issue or concern, the Ombudsman will direct you to the appropriate SEC staff or resources and may monitor the outcome, if needed. The Ombudsman may also help you identify resources outside of the SEC to help resolve your matters and concerns”.
https://www.sec.gov/tcr#
FINRA
Bill McKay needs to be held responsible for all the con games he’s played.
This guy, Cameron Funkhouser, is a bulldog - he heads up FINRA’s Office of Fraud Detection and Market Intelligence. If you can get in touch with him....that’s the hardest part.
http://www.finra.org/industry/ofdmi
Here’s a number to call at the SEC: Investor Information and Complaints (800) SEC-0330 or (202) 551-6551
This is most likely everyone’s best bet. You may also want to talk to the Ombudswoman, she will listen intently and she follows through. She doesn’t just pass the buck. If she feels someone will be best suited to handle your problem/concerns, she’ll direct you:
Tracey L. McNeil
Email: Ombudsman@sec.gov
Phone: (202) 551-3330
Toll-free: (877) 732-2001
”The Ombudsman helps retail investors who are unsure about how to handle their concerns, feel they have exhausted all other SEC resources, or want to discuss their matter confidentially.
Those we have helped include investors seeking information about Fair Fund distributions to investment fraud victims, individuals having difficulty accessing public company data, and investors with questions and concerns about the Financial Industry Regulatory Authority (FINRA) arbitration process.
The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC.
Where an established SEC resolution channel or process exists to address your issue or concern, the Ombudsman will direct you to the appropriate SEC staff or resources and may monitor the outcome, if needed. The Ombudsman may also help you identify resources outside of the SEC to help resolve your matters and concerns”.
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