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Wyoming Investing Complaint Form

Category:
Wyoming Secretary of State - Blue Sky - Securities
State:
Wyoming
Control #:
WY-BS-S-01
Format:
PDF
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Description

Investing Complaint Form The Wyoming Investing Complaint Form is a document issued by the Wyoming Securities Division of the Wyoming State Treasurer's Office for filing complaints about potential violations of Wyoming securities laws. The form allows for the filing of complaints against broker-dealers, investment advisors, and their representatives who may be engaging in fraud, unethical practices, or any other securities' law violation. Wyoming has three types of Wyoming Investing Complaint Forms. The first is the General Complaint Form, which is used to report any violation of Wyoming securities law or regulation. The second is the Investor Protection Complaint Form, which is specifically used to report fraud, unethical practices, or any other securities' law violation by a Wyoming broker-dealer or investment advisor. The third is the Investor Arbitration Complaint Form, which is used to file a claim against a broker-dealer or investment advisor with the Financial Industry Regulatory Authority (FINRA) for an alleged violation of FINRA's rules.

The Wyoming Investing Complaint Form is a document issued by the Wyoming Securities Division of the Wyoming State Treasurer's Office for filing complaints about potential violations of Wyoming securities laws. The form allows for the filing of complaints against broker-dealers, investment advisors, and their representatives who may be engaging in fraud, unethical practices, or any other securities' law violation. Wyoming has three types of Wyoming Investing Complaint Forms. The first is the General Complaint Form, which is used to report any violation of Wyoming securities law or regulation. The second is the Investor Protection Complaint Form, which is specifically used to report fraud, unethical practices, or any other securities' law violation by a Wyoming broker-dealer or investment advisor. The third is the Investor Arbitration Complaint Form, which is used to file a claim against a broker-dealer or investment advisor with the Financial Industry Regulatory Authority (FINRA) for an alleged violation of FINRA's rules.

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