The Center For Debt Management
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Get The Facts On
Saving and Investing

What If I Have a Problem?

Some investments make money. Others lose money. That’s natural, and that’s why you need a diversified portfolio to minimize your risk. But if you lose money because you’ve been cheated, that’s not natural, that’s a problem.

Sometimes all it takes is a simple phone call to your investment professional to resolve a problem. Maybe there was an honest mistake that can be corrected. If talking to the investment professional doesn’t resolve the problem, talk to the firm’s manager, and write a letter to confirm your conversation. If that doesn’t lead to a resolution, you may have to initiate legal action. You will need to take action quickly because the legal time limits for doing so can be short. Your local bar association can refer you to attorneys who specialize in securities law.

If You Run Into Trouble

SEC
450 Fifth Street, N.W.
Washington, D.C. 20549
Toll-free: (800) SEC-0330
Website: www.sec.gov

NASAA - State Regulators
10 G Street, N.W.
Washington, D.C.
Toll-free (888) 84-NASAA
Website: www.nasaa.org


Deep In Debt?  —  Call 1800 DEBT.COM  —  Get Help Today!


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