Investments
California Department of Corporations
1350 Front Street, Room 2034
San Diego, CA 92101
619/525-4233
800/347-6995 complaint line
www.corp.ca.gov
Complaint form: Securities Regulation
Complaint form: Enforcement and Legal Services
Complaint form: Financial Services
Regulates investment activities and finance companies, including problems with escrow, check cashing, small loan, trading stamp, securities companies, health insurance companies, and HMO’s.
Certified Financial Planner Board of Standards
1700 Broadway, Suite 2100
Denver, Colorado 80290-2101
303/830-7500
www.cfp-board.org/cons_cmplt.html
email mail [at] cfp-board [dot] org
The CFP Board is a nonprofit professional regulatory organization. Individuals who meet rigorous certification requirements are licensed by the CFP Board to use its federally registered trademarks 'CFP' and 'Certified Financial Planner'. Individuals who wish to file a complaint against a CFP designee must first contact the CFP Board and request a Complaint Package. You can also check the status of a CFP licensee by contacting the Board or using their website.
National Association of Securities Dealers (NASD)
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
213/627-2122
www.nasdr.com
Online complaint form
Operates a third-party dispute resolution program for complaints against firms that sell over-the-counter stocks and corporate bonds. Complaints may be submitted online or by mail. Check their online complaint database before you decide to invest with a broker.
U.S. Securities and Exchange Commission (SEC)
5670 Wilshire Blvd., 11th floor
Los Angeles, CA 90036
800/732-0330 consumer information
213/965-3998
202/942-7065 TTY
www.sec.gov
email: help [at] sec [dot] gov
Complaint form
The SEC registers complaints about trading of securities, mutual funds and brokers, lost stock certificates, and deceptive or fraudulent securities sales practices. Complaint forms may be submitted online, or printed and mailed to SEC Complaint Center, 450 Fifth St. NW, Washington DC, 20549-0213.
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Utility Consumers' Action Network
(619) 696-6966 or file a complaint about a company online.
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