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.
Alaska Investment Complaint Form
Category:
State:
Alaska
Control #:
AK-GEN08-115A
Format:
PDF
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Investment Complaint Form
How to fill out Alaska Investment Complaint Form?
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Investor complaint form instructions. Fill out the information as completely as possible.Retain copies of your letter and of all other related correspondence with the brokerage firm. The Pennsylvania Department of Banking and Securities (Department) is responsible for. Read about the types of complaints they handle and the complaint process. Use the SEC's online form to file your investor complaint. DIRECTIONS: The information you provide on this form is important in enabling the Securities Division to investigate. Case number: Date case filed: Attach copies of court documents to this complaint. Please PRINT or TYPE your complaint in FULL detail. If you have problems with a company or individual in the finance and insurance industries, complete a complaint form so we can look into the situation.