Form TCR Complaint Form TCR Complaint Form TCR Complaint Form

Tips, Complaints, and Referrals
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CurrentWhat is your complaint about?
Who are you complaining about?
Which investment products are involved?
About you
Attach Files
Review and Submit
Complete

Step1 of 7 What is your complaint about?
Please select the option that best describes your complaint.
• Fraudulent investment scheme, such as a Ponzi scheme or the promise of highyield returns
• Unregistered securities offering
• General trading practices or pricing issues
• Manipulation of a security
• Insider trading
• Material misstatement or omission in a company's public filings or financial
statements, or a failure to file
• Municipal securities transactions or public pension plans
• Specific market event or condition
• Bribery of, or improper payments to, foreign officials (Foreign Corrupt Practices
Act Violations)
• Initial coin offerings, cryptocurrencies and crypto assets
• Other
Is this supplemental information to a previous complaint?
• Yes
• No
In your own words, describe the conduct or situation you are complaining about.
• Free Text Answer of up to 50000 character(s)
Are you having or have you had difficulty getting access to your funds or securities?
• Yes
• No
• Unknown
Did you suffer a loss?
• Yes
• No

When did you become aware of the conduct? (mm/dd/yyyy)
When did the conduct begin? (mm/dd/yyyy)
Is the conduct ongoing?
• Yes
• No
• Unknown
Has the individual or firm acknowledged the conduct?
• Yes
• No
• Unknown
How did you learn about the conduct? You may select more than one answer.
• Account statements
• Broker-dealer records
• Conversations
• Internal business documents
• Publicly available information
• SEC filings
• Social media (e.g., Facebook, Twitter, blogs, chat rooms, and electronic
communities of interest)
• Stock tip sheet or newsletter
Have you taken any action regarding your complaint? You may select more than one
answer.
• Complained to firm
• Complained to other regulator
• Complained to SEC
• Complained to law enforcement
• Complained to other
• Legal action
• Mediation
• Arbitration
• Other
• None
Provide details.
• Free Text Answer of up to 10000 character(s)

2 of 7 Who are you complaining about?
Are you complaining about a person or a firm?
• Person
• Firm
Street Address
Address (Continued)
Country
Zip / Postal Code
City
State / Province
Home Phone
Work Phone
Mobile Phone
Other Phone
Email Address
Website
If the complaint is about an entity or person that has custody or control of your
investments, have you had difficulty contacting that entity or person?
• Yes
• No
• Unknown

3 of 7 Which investment products are involved?
Select the type of product involved in your complaint.
• Annuities and insurance products
• Banking and consumer finance products
• Commodities
• Debt securities (e.g., corporate bonds, municipal bonds)
• Derivatives (e.g., futures, options, swaps)
• Equities (e.g., common stock, preferred stock)
• Funds (e.g., ETFs, mutual funds, private equity funds, hedge funds)
• Real Estate
• Retirement accounts and products
• Other
Enter the ticker symbol, if known.
Enter the product name(s), if known.

4 of 7 About you
Are you filing this tip under the SEC's whistleblower program?
• Yes
• No

5 of 7 Attach Files
Fields marked with an asterisk (*) are required.
Upload any document you would like to include here. There is a maximum of 20 files
that can be uploaded and each file can be no larger than 10MB. Password protected
archives (.zip, .7zip) are not allowed. Please do not submit any password-protected
documents.
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