Be specific . List the names, addresses, and telephone numbers of any others who you believe may have similar complaints. Type or print the information as clearly as possible. You may submit an initial complaint to Mr. Gail Sheppick, by letter, facsimile, telephone or e-mail. We will immediately copy the originals and return them to you.
Many complaints involve licensed broker-dealer firms, and their agents.
Negotiate directly with your salesperson to resolve the matter. Frequently, minor issues can be settled informally at this point. If you feel the salesperson has answered your questions unsatisfactorily or is unwilling to review your complaint, contact the salesperson's supervisor, as well as the office manager. Write to the firm's chief compliance officer. This individual is located at the firm's home office address.