If you are not satisfied with the proposed solution to your complaint, speak with your broker's manager or the firm's compliance officer. Put your complaint in writing and ask for a written response to your problem. This correspondence serves as documentation and is essential if your complaint goes to arbitration or other dispute proceedings. Arbitration is less costly and generally a faster means of resolving a dispute than traditional litigation. Those who choose arbitration forfeit their right to pursue the matter in court.
Arbitration awards are almost always final.
If you believe securities laws have been violated, contact the North Dakota Office of the Securities Commissioner. However, our office cannot provide legal representation or retrieve investment losses.