How to File a Financial Advice Complaint by Bonnie Kirchner

How to File a Financial Advice Complaint

byBonnie Kirchner

Kobo ebook | June 30, 2010

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This is the eBook version of the printed book.

This Element is an excerpt from Who Can You Trust With Your Money? Get the Help You Need Now and Avoid Dishonest Advisors (9780137033652), by Bonnie Kirchner. Available in print and digital formats.


When to file a complaint, how to do it, and what to expect after you do.


Investors may not be aware that they are being taken advantage of because there hasn’t been obvious misappropriation of their funds, and the only clues may be disappointing investment returns. According to FINRA, you should be aware that certain types of conduct in the securities industry are prohibited, including the following…

Title:How to File a Financial Advice ComplaintFormat:Kobo ebookPublished:June 30, 2010Publisher:Pearson EducationLanguage:English

The following ISBNs are associated with this title:

ISBN - 10:013217877X

ISBN - 13:9780132178778

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