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Alaska Investment Complaint Form

Category:
Alaska Secretary of State - Blue Sky - General
State:
Alaska
Control #:
AK-GEN08-115A
Format:
PDF
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Description

Investment Complaint Form The Alaska Investment Complaint Form is a document used to file a complaint against a broker-dealer, investment adviser, or investment adviser representative who is registered, has been registered, or is required to be registered in the state of Alaska. It is used to report violations of state and federal securities laws, including fraud, misrepresentation, unsuitable investments, and other misconduct. The Alaska Securities Act requires anyone who is registered, has been registered, or is required to be registered to be reported through this form. The form is available for download from the Alaska Division of Banking and Securities website, and can be completed and submitted online or via mail. There are two types of Alaska Investment Complaint Forms: the Investor Complaint Form and the Firm Complaint Form. The Investor Complaint Form is used to report issues related to a particular individual investor, while the Firm Complaint Form is used to report issues related to a particular firm or broker-dealer.

The Alaska Investment Complaint Form is a document used to file a complaint against a broker-dealer, investment adviser, or investment adviser representative who is registered, has been registered, or is required to be registered in the state of Alaska. It is used to report violations of state and federal securities laws, including fraud, misrepresentation, unsuitable investments, and other misconduct. The Alaska Securities Act requires anyone who is registered, has been registered, or is required to be registered to be reported through this form. The form is available for download from the Alaska Division of Banking and Securities website, and can be completed and submitted online or via mail. There are two types of Alaska Investment Complaint Forms: the Investor Complaint Form and the Firm Complaint Form. The Investor Complaint Form is used to report issues related to a particular individual investor, while the Firm Complaint Form is used to report issues related to a particular firm or broker-dealer.

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