If your securities broker has lied to you, pressured you with
unwanted phone calls, put your money into unsuitable securities, or bought for
your account without your prior authorization, you can file
a complaint with FINRA (Financial Industry Regulatory Authority).
Before you sign authorization to trade, check out your broker online with the Securities and Exchange
Commission.
FINRA does not deal with insurance issues.
To check out an
insurance agent or broker or to file a complaint about an insurance agent or
broker, go online to your state’s
insurance commissioner.
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