Publications:
Download ASCII text of brochure
What If You Have a Problem?
Once you have made an investment, problems can still come up -- just as they
can when you buy a car or any other product. If you have a problem, it's always
a good idea to explain it in writing and to send your explanation and copies of
any documentation to the place where you bought the product. And, of course,
keep a copy of everything for your files.
If you have a problem with an investment product you purchased at a bank, you
should write to the bank. The bank should respond to you and keep a record of
your complaint on file.
If the bank doesn't respond or if you are unhappy with the response, you should
contact the federal or state agency that regulates
the bank and/or the Securities
and Exchange Commission, which regulates registered broker/dealers and
the securities business. If your problem concerns an annuity
, you can also contact the insurance company that issued the annuity or your
state's insurance regulatory department.
Next:
Directory of Federal Agencies
|
