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Extractions: Read the warning here. and there is no indication that they are authorized to do business in this state www.sec.gov ) is the only governmental securities regulator and each of the states has a comparable regulatory agency. To contact a specific state regulator, go to: http://nasaa.org/nasaa/abtnasaa/memberweb.asp This list is not intended to be all-inclusive and should not be an indicator that you are dealing with a reputable company if the name of the company is not on the list. Alpha Management
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Extractions: P lease sign our Guestbook W hat is securities fraud? What are your rights as an investor and what duties does your broker owe to you? How do you know if you have been defrauded by your stockbroker or investment advisor? What can you do about it, if you have been subjected to stockbroker fraud? You will find information at this web site which will assist you in addressing these questions and others which may arise in connection with improper investments and stockbroker/customer disputes. M ost investment losses are the result of market forces, trends and factors which have nothing to do with securities fraud. Stockbrokers do not have a crystal ball and they are not guarantors of investments. But if your losses have been the result of wrongful action or fraud, you ought to know because you may be able to do something about it and recover your losses. The information at this site will hopefully assist you in distinguishing between frivolous claims and claims with merit, sour grapes and securities fraud. Finally, this site should help you understand the securities arbitration process and which claims may be appropriate or eligible for arbitration. F ollowing are further resources that may assist you in finding pertinent rules and regulations governing securities trading practices and help you learn more about securities fraud and your rights as an investor.
Complaints? What To Do Security and Exchange Commission discusses how to handle a complaint against astock broker. http://www.sec.gov/complaint.shtml
Extractions: Divisions Through this page you can file a complaint or provide us with tips on potential securities law violations. We welcome hearing from you because your information may alert us to a bad broker or firm, an unfair practice in the securities industry that needs to be changed, or the latest fraud. There are several ways to file a complaint: Complaints - Use one of our online forms to file your complaint electronically. Questions - Use our " Fast Answers " web page for general questions about the federal securities laws or your investments. If you do not want to communicate electronically, either print and fill out a form or write us a letter. Our address is: SEC Complaint Center, 100 F Street NE, Washington, D.C. 20549-0213. You can also send a fax to 202-942-9634. Whistleblower Protection: If you work for a publicly traded company and have been fired, demoted, suspended, threatened, harassed, or discriminated against for reporting a potential shareholder fraud to a supervisor, federal regulator, or member of Congress, then please contact