Have you checked our website?

We handle thousands of requests each month, so it will take some time before you receive an answer from us. If you need an answer right away, be sure to check Fast Answers first.

How long does it take the SEC to help you with your complaint?

We will usually be able to respond to you within a few days after the receipt of your complaint. If your complaint is complex, it may take a little longer. We appreciate your patience while waiting for our response.

Have you tried to resolve the problem directly with the person or company you are complaining about?

You should try to contact the person or company that is the cause of your complaint. You might be able to resolve your problem more quickly by speaking to them directly rather than waiting for a response to your complaint.

How will we handle your complaint?

We'll take the following steps when we get your complaint:

We will analyze your complaint and decide if we need to refer it to our Division of Enforcement, another SEC office, or another regulator's office. Our Division of Enforcement conducts investigations, but our office does not. The SEC generally conducts investigations confidentially. As a result, the SEC will neither confirm nor deny the existence of any investigation.

After analyzing your complaint, we will send a copy of the complaint to the brokerage firm or company. We'll ask the firm or company to send a written report to you and us that responds to your complaint.

Do you know what our limitations are?

Sometimes a complaint is successfully resolved when we ask a firm to report to you and us. But in many cases, the firm or company denies wrongdoing, and it remains unclear as to who is wrong or whether any wrongdoing occurred at all. If this happens, we cannot act as a judge or an arbitrator and force a broker, brokerage firm, or company to resolve your complaint. But the law allows you to take legal action on your own.

http://www.sec.gov/investor/pubs/howoiea.htm