STEPS YOU CAN TAKE IF YOUR COMPLAINT INVOLVES A DEALER
If you have a dispute with a securities firm or securities professional, you can first try to resolve it with the firm. If the person you are dealing with is not helpful, contact a supervisor in the firm or the firm's compliance department.
Review your customer account agreement to determine whether you have agreed to procedures regarding dispute resolution. Most customer account agreements require the investor to take any dispute to arbitration, and not directly to court.
If you are interested in learning more about the arbitration process, you can contact the Financial Industry Regulatory Authority (FINRA) or the Exchange with which your dealer is a member.
You are always entitled to file a complaint with the Securities Division, even if you go to arbitration.