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What do I do if I believe that I have been the victim of fraud or unfair treatment by a securities firm?

Last Updated: March 03, 2008

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If you believe you have been a victim at the hands of a securities firm, you should send a letter of complaint to the National Association of Security Dealers: Mail or fax: NASD Complaints and Tips 9509 Key West Avenue Rockville, MD 20850 Fax: (866) 397-3290 You can also file a complaint online at https://apps.nasd.com/Investor_Information/Complaints/complaintCenter.asp. If you hear of a scam from someone else or suspect a friend has been a victim, you can let the NASD know using this Web site: http://www.nasd.com/RegulatoryEnforcement/FileaTip/index.htm . Source: Fraud Fighting 101: Smart Tips for Older Investors http://www.nasd.com/InvestorInformation/InvestorProtection/NASDW_019140 We would like your feedback on this Personal Finance Frequently Asked Question.

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