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Preet Banerjee, B.Sc., FMA, DMS is a former stockbroker and financial advisor in Toronto. Information on this site is for entertainment purposes ONLY. Always seek individual professional advice before making any financial decisions.

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Investor’s Guide To Effective Complaints

April 26th, 2009 • Related • Filed Under
                                                         
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Ken Kivenko (author of CanadianFundWatch.com) kindly (again!) sent me an email with his latest work: The Investor’s Guide To Effective Complaints which is published under the Kenmar Associates banner (which is Ken’s other endeavour focused at investor protection and education).

Some Highlights

  • Don’t forget that a firm’s compliance officer is paid by the firm.
  • You may want to make notes on your meetings and phone calls with your advisor (because they are making notes for their records).
  • Keep copies of ALL paperwork (your copy of the initial account opening agreement and all transaction confirmations, etc.)
  • There is a list of organizations that can assist you if you feel overwhelmed
  • You’ll get an idea if restitution is possible and the costs potentially involved in going down that road

If you are an investor you would do well to learn about making an effective complaint. You can build a stronger case for yourself if you follow some simple steps outlined in this guide. CLICK HERE TO DOWNLOAD A COPY OF THE INVESTOR’S GUIDE TO EFFECTIVE COMPLAINTS.

Thanks Ken!

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There Are 2 Responses So Far. »

  1. Comment by Mark Wolfinger on 27 April 2009:

    Everyone needs this information.
    Thanks for posting

  2. Pingback by Fixing Trading Errors : WhereDoesAllMyMoneyGo.com on 10 May 2009:

    [...] Now, if you run into problems correcting trades you know you did not authorize, you may want to read through the Guide To Effective Investor Complaints. [...]

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