Questions and Answers for Investors
Review your account activity and speak with your financial advisor if you have any questions or concerns.What can I do if I have a potential complaint against our investment professional?
Yes. FINRA’s dispute resolution forum is completely functional and is accepting new case filings. All of FINRA’s case management was already fully online prior to the pandemic. The only parts of FINRA arbitrations that are not occurring presently are in person arbitrations hearings and mediations but that will not affect the filing and early stages of an arbitration. Read Diane Sammarco's blog post for a primer on it.