|        |        | Investor Complaint Form
You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security.  Please read our Privacy Act Notice to learn more about how we may use the information you send to us.

Please  read Investor Bulletin: Investor Complaints for information on what we will do with your complaint and other options  for resolving your complaint.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                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|   |   | Please correct the following error(s) before proceeding:Yes, send the form to the firm or company.No, do not send the form to the firm or company. If you choose "no", we will record your complaint in our database, but we cannot help you any further.
**Tell Us About Yourself**
 * You must complete this information.TitleMr.Ms.Mrs.Dr.Rev.The Honorable* First nameMiddle initial* Last name* Street addressAddress (cont.)* City* State/Province(required if US or Canada)ALABAMAALASKAARIZONAARKANSASArmed Forces Africa, Canada, Europe and Middle EastArmed Forces Americas (except Canada)Armed Forces PacificCALIFORNIACOLORADOCONNECTICUTDELAWAREDISTRICT OF COLUMBIAFLORIDAGEORGIAHAWAIIIDAHOILLINOISINDIANAIOWAKANSASKENTUCKYLOUISIANAMAINEMARYLANDMASSACHUSETTSMICHIGANMINNESOTAMISSISSIPPIMISSOURIMONTANANEBRASKANEVADANEW HAMPSHIRENEW JERSEYNEW MEXICONEW YORKNORTH CAROLINANORTH DAKOTAOHIOOKLAHOMAOREGONPENNSYLVANIARHODE ISLANDSOUTH CAROLINASOUTH DAKOTATENNESSEETEXASUTAHVERMONTVIRGINIAWASHINGTONWEST VIRGNINAWISCONSINWYOMINGALBERTABRITISH COLUMBIAMANITOBANEW BRUNSWICKNEWFOUNDLAND AND LABRADORNORTHWEST TERRITORIESNOVA SCOTIANUNAVUTONTARIOPRINCE EDWARD ISLANDQUEBECSASKATCHEWANYUKON* Zip/Postal code* CountryAFGHANISTANALBANIAALGERIAAMERICAN SAMOAANDORRAANGOLAANGUILLAANTARCTICAANTIGUA AND BARBUDAARGENTINAARMENIAARUBAAUSTRALIAAUSTRIAAZERBAIJANBAHAMASBAHRAINBANGLADESHBARBADOSBELARUSBELGIUMBELIZEBENINBERMUDABHUTANBOLIVIABOSNIA AND HERZEGOVINABOTSWANABOUVET ISLANDBRAZILBRITISH INDIAN OCEAN TERRITORYBRUNEI DARUSSALAMBULGARIABURKINA FASOBURUNDICAMBODIACAMEROONCANADACAPE VERDECAYMAN ISLANDSCENTRAL AFRICAN REPUBLICCHADCHILECHINACHRISTMAS ISLANDCOCOS (KEELING) ISLANDSCOLOMBIACOMOROSCONGOCONGO, THE DEMOCRATIC REPUBLIC OF THECOOK ISLANDSCOSTA RICACOTE D'IVOIRECROATIACUBACYPRUSCZECH REPUBLICDENMARKDJIBOUTIDOMINICADOMINICAN REPUBLICECUADOREGYPTEL SALVADOREQUATORIAL GUINEAERITREAESTONIAETHIOPIAFALKLAND ISLANDS (MALVINAS)FAROE ISLANDSFIJIFINLANDFRANCEFRENCH GUIANAFRENCH POLYNESIAFRENCH SOUTHERN TERRITORIESGABONGAMBIAGEORGIAGERMANYGHANAGIBRALTARGREECEGREENLANDGRENADAGUADELOUPEGUAMGUATEMALAGUINEAGUINEA-BISSAUGUYANAHAITIHEARD ISLAND AND MCDONALD ISLANDSHOLY SEE (VATICAN CITY STATE)HONDURASHONG KONGHUNGARYICELANDINDIAINDONESIAIRAN, ISLAMIC REPUBLIC OFIRAQIRELANDISRAELITALYJAMAICAJAPANJORDANKAZAKHSTANKENYAKIRIBATIKOREA, DEMOCRATIC PEOPLE'S REPUBLIC OFKOREA, REPUBLIC OFKUWAITKYRGYZSTANLAO PEOPLE'S DEMOCRATIC REPUBLICLATVIALEBANONLESOTHOLIBERIALIBYAN ARAB JAMAHIRIYALIECHTENSTEINLITHUANIALUXEMBOURGMACAOMACEDONIA, THE FORMER YUGOSLAV REPUBLIC OFMADAGASCARMALAWIMALAYSIAMALDIVESMALIMALTAMARSHALL ISLANDSMARTINIQUEMAURITANIAMAURITIUSMAYOTTEMEXICOMICRONESIA, FEDERATED STATES OFMOLDOVA, REPUBLIC OFMONACOMONGOLIAMONTSERRATMOROCCOMOZAMBIQUEMYANMARNAMIBIANAURUNEPALNETHERLANDSNETHERLANDS ANTILLESNEW CALEDONIANEW ZEALANDNICARAGUANIGERNIGERIANIUENORFOLK ISLANDNORTHERN MARIANA ISLANDSNORWAYOMANPAKISTANPALAUPALESTINIAN TERRITORY, OCCUPIEDPANAMAPAPUA NEW GUINEAPARAGUAYPERUPHILIPPINESPITCAIRNPOLANDPORTUGALPUERTO RICOQATARREUNIONROMANIARUSSIAN FEDERATIONRWANDASAINT HELENASAINT KITTS AND NEVISSAINT LUCIASAINT PIERRE AND MIQUELONSAINT VINCENT AND THE GRENADINESSAMOASAN MARINOSAO TOME AND PRINCIPESAUDI ARABIASENEGALSEYCHELLESSIERRA LEONESINGAPORESLOVAKIASLOVENIASOLOMON ISLANDSSOMALIASOUTH AFRICASOUTH GEORGIA AND THE SOUTH SANDWICH ISLANDSSPAINSRI LANKASUDANSURINAMESVALBARD AND JAN MAYENSWAZILANDSWEDENSWITZERLANDSYRIAN ARAB REPUBLICTAIWAN, PROVINCE OF CHINATAJIKISTANTANZANIA, UNITED REPUBLIC OFTHAILANDTIMOR-LESTETOGOTOKELAUTONGATRINIDAD AND TOBAGOTUNISIATURKEYTURKMENISTANTURKS AND CAICOS ISLANDSTUVALUUGANDAUKRAINEUNITED ARAB EMIRATESUNITED KINGDOMUNITED STATESUNITED STATES MINOR OUTLYING ISLANDSURUGUAYUZBEKISTANVANUATUVENEZUELAVIET NAMVIRGIN ISLANDS, BRITISHVIRGIN ISLANDS, U.S.WALLIS AND FUTUNAWESTERN SAHARAYEMENYUGOSLAVIAZAMBIAZIMBABWEDaytime phoneAlternate phoneFax* E-mail* Are you aIndividual InvestorRegistered RepresentativeAccountantOther Financial ProfessionalIssuer/Attorney for an IssuerBrokerage Firm Compliance OfficerAcademic/Researcher/StudentMember of the Press
**Tell Us About the Firm or Individual You Have a Complaint Against**
Firm nameType of firmBankBroker-DealerDay Trading FirmInsurance CompanyInvestment Advisor/Financial PlannerMarket MakerMutual FundNewsletter Company/Investment Publication CompanyOn-Line Trading FirmOtherPrivate/Closely Held CompanyPublic CompanyTransfer AgentBroker, Advisor, or SalespersonStreet addressAddress (cont.)CityState/ProvinceALABAMAALASKAARIZONAARKANSASArmed Forces Africa, Canada, Europe and Middle EastArmed Forces Americas (except Canada)Armed Forces PacificCALIFORNIACOLORADOCONNECTICUTDELAWAREDISTRICT OF COLUMBIAFLORIDAGEORGIAHAWAIIIDAHOILLINOISINDIANAIOWAKANSASKENTUCKYLOUISIANAMAINEMARYLANDMASSACHUSETTSMICHIGANMINNESOTAMISSISSIPPIMISSOURIMONTANANEBRASKANEVADANEW HAMPSHIRENEW JERSEYNEW MEXICONEW YORKNORTH CAROLINANORTH DAKOTAOHIOOKLAHOMAOREGONPENNSYLVANIARHODE ISLANDSOUTH CAROLINASOUTH DAKOTATENNESSEETEXASUTAHVERMONTVIRGINIAWASHINGTONWEST VIRGNINAWISCONSINWYOMINGALBERTABRITISH COLUMBIAMANITOBANEW BRUNSWICKNEWFOUNDLAND AND LABRADORNORTHWEST TERRITORIESNOVA SCOTIANUNAVUTONTARIOPRINCE EDWARD ISLANDQUEBECSASKATCHEWANYUKONZip/Postal codeCountryAFGHANISTANALBANIAALGERIAAMERICAN SAMOAANDORRAANGOLAANGUILLAANTARCTICAANTIGUA AND BARBUDAARGENTINAARMENIAARUBAAUSTRALIAAUSTRIAAZERBAIJANBAHAMASBAHRAINBANGLADESHBARBADOSBELARUSBELGIUMBELIZEBENINBERMUDABHUTANBOLIVIABOSNIA AND HERZEGOVINABOTSWANABOUVET ISLANDBRAZILBRITISH INDIAN OCEAN TERRITORYBRUNEI DARUSSALAMBULGARIABURKINA FASOBURUNDICAMBODIACAMEROONCANADACAPE VERDECAYMAN ISLANDSCENTRAL AFRICAN REPUBLICCHADCHILECHINACHRISTMAS ISLANDCOCOS (KEELING) ISLANDSCOLOMBIACOMOROSCONGOCONGO, THE DEMOCRATIC REPUBLIC OF THECOOK ISLANDSCOSTA RICACOTE D'IVOIRECROATIACUBACYPRUSCZECH REPUBLICDENMARKDJIBOUTIDOMINICADOMINICAN REPUBLICECUADOREGYPTEL SALVADOREQUATORIAL GUINEAERITREAESTONIAETHIOPIAFALKLAND ISLANDS (MALVINAS)FAROE ISLANDSFIJIFINLANDFRANCEFRENCH GUIANAFRENCH POLYNESIAFRENCH SOUTHERN TERRITORIESGABONGAMBIAGEORGIAGERMANYGHANAGIBRALTARGREECEGREENLANDGRENADAGUADELOUPEGUAMGUATEMALAGUINEAGUINEA-BISSAUGUYANAHAITIHEARD ISLAND AND MCDONALD ISLANDSHOLY SEE (VATICAN CITY STATE)HONDURASHONG KONGHUNGARYICELANDINDIAINDONESIAIRAN, ISLAMIC REPUBLIC OFIRAQIRELANDISRAELITALYJAMAICAJAPANJORDANKAZAKHSTANKENYAKIRIBATIKOREA, DEMOCRATIC PEOPLE'S REPUBLIC OFKOREA, REPUBLIC OFKUWAITKYRGYZSTANLAO PEOPLE'S DEMOCRATIC REPUBLICLATVIALEBANONLESOTHOLIBERIALIBYAN ARAB JAMAHIRIYALIECHTENSTEINLITHUANIALUXEMBOURGMACAOMACEDONIA, THE FORMER YUGOSLAV REPUBLIC OFMADAGASCARMALAWIMALAYSIAMALDIVESMALIMALTAMARSHALL ISLANDSMARTINIQUEMAURITANIAMAURITIUSMAYOTTEMEXICOMICRONESIA, FEDERATED STATES OFMOLDOVA, REPUBLIC OFMONACOMONGOLIAMONTSERRATMOROCCOMOZAMBIQUEMYANMARNAMIBIANAURUNEPALNETHERLANDSNETHERLANDS ANTILLESNEW CALEDONIANEW ZEALANDNICARAGUANIGERNIGERIANIUENORFOLK ISLANDNORTHERN MARIANA ISLANDSNORWAYOMANPAKISTANPALAUPALESTINIAN TERRITORY, OCCUPIEDPANAMAPAPUA NEW GUINEAPARAGUAYPERUPHILIPPINESPITCAIRNPOLANDPORTUGALPUERTO RICOQATARREUNIONROMANIARUSSIAN FEDERATIONRWANDASAINT HELENASAINT KITTS AND NEVISSAINT LUCIASAINT PIERRE AND MIQUELONSAINT VINCENT AND THE GRENADINESSAMOASAN MARINOSAO TOME AND PRINCIPESAUDI ARABIASENEGALSEYCHELLESSIERRA LEONESINGAPORESLOVAKIASLOVENIASOLOMON ISLANDSSOMALIASOUTH AFRICASOUTH GEORGIA AND THE SOUTH SANDWICH ISLANDSSPAINSRI LANKASUDANSURINAMESVALBARD AND JAN MAYENSWAZILANDSWEDENSWITZERLANDSYRIAN ARAB REPUBLICTAIWAN, PROVINCE OF CHINATAJIKISTANTANZANIA, UNITED REPUBLIC OFTHAILANDTIMOR-LESTETOGOTOKELAUTONGATRINIDAD AND TOBAGOTUNISIATURKEYTURKMENISTANTURKS AND CAICOS ISLANDSTUVALUUGANDAUKRAINEUNITED ARAB EMIRATESUNITED KINGDOMUNITED STATESUNITED STATES MINOR OUTLYING ISLANDSURUGUAYUZBEKISTANVANUATUVENEZUELAVIET NAMVIRGIN ISLANDS, BRITISHVIRGIN ISLANDS, U.S.WALLIS AND FUTUNAWESTERN SAHARAYEMENYUGOSLAVIAZAMBIAZIMBABWE
**Tell Us About Your Investment**
Type of security"Prime Bank" securitiesADRsBank issues (general)Blank check offeringsBlind pool offeringsCertificates of depositClosed-end fundsCoins and precious metals (gold, silver, etc.)Collateralized mortgage obligations (CMOs)Commodities futures (except stock index)Commodity Stock Index OptionsConvertible securitiesCurrency transactionsDebt securities (general)Derivatives (General)Diamonds and other precious stonesEquity security (general)Foreign Securities (not ADRs)Franchises and other business venturesHedge FundsHigh yield and "junk" bond mutual fundsInitial public offerings (IPOs)Insurance ContactProducts (general)Limited partnershipsLower-rated and "junk" bondsMoney-Market fundsMortgage-backed securitiesMulti-level marketing organizations (ponzi/pyramid)Municipal bondsMutual Funds (general)No ContactProduct/ContactProduct not mentionedNon-SEC ContactProductNon-SEC registered offeringsOil, gas, coal, oresOptions (except stock index)Other ContactProducts/commodities (cattle, whiskey, soybeans, etc.)Penny stocksPromissory notes, loans, IOUsReal estate (not securities)Real estate investment trusts (REITs)Reg A or Reg D offeringsRights and warrantsRoll-upsSection 529 plansSmall/Micro cap issuesStock index futuresStock index optionsTelecommunication and technology ventures (wireless cable, SMRs, etc.)U.S. government securities/agency issuesUnit investment trusts (UITs)Variable annuitiesSecurity symbolName ofIssuer orSecurity
**Tell Us About Your Complaint**

* Please describe your complaint in as much detail as possible,         including the full name(s) on the account, the exact type of account, the dates of specific transactions or conversations,         the name or ticker symbol of the security(ies) involved,         and the names of all the people at the firm you have contacted about this complaint.

What types of documents would you be able to provide us if requested?

Canceled Checks

Correspondence to and from Firm

Advertising or Marketing Materials

Notes of conversation with Firm

Other             Please describe the other documents you can provide.

**Tell Us What Action You Have Taken**

Have you complained to the firm?             Yes             No

Have you contacted any other regulators?             Yes             No

If yes, whom?

FINRA (Financial Industry Regulatory Authority)

State Regulators

Other Federal Regulators

Foreign Regulators

Stock Exchange             NYSEAMEXNASDAQPlease select the exchange you contacted.

Other                         Please specify the other regulator you have contacted.

Have you taken legal action?   If so, what type: 

Mediation

Arbitration

Court Action

Describe the details of the legal action you have taken.

This collection of information has been reviewed by the Office of Management and Budget ("OMB") in accordance with the clearance requirements of 44 U.S.C. §3507. The applicable Privacy Act system of records (SORN) is SEC 31 and the routine uses of the records are set forth at 85 FR 85440 (January 27, 2021).
*https://www.sec.gov/oiea/Complaint.html* |