Send your letters by certified mail return receipt requested. Keep a copy of your letter and proof of mailing. Explain your problem clearly and state how you want it resolved. Ask the Compliance Officer to respond to you within 30 days. Keep a copy of all correspondence and proof of mailing.
Experience shows that only occasionally does their intervention yield a satisfactory result .
This is what usually happens. The SEC or NASD or Exchange or State official probably will send a letter to the firm or person you have complained about, and ask them to respond to your specific complaint or question. The broker or firm replies that they were in the right and you were wrong. If the SEC or other inquiring body concludes it is unclear who is right and who is wrong, you will have to pursue your complaint. This page is under construction.