Instructions For Completing The Complaint Form - State Of Pennsylvania printable pdf download

INSTRUCTIONS FOR COMPLETING THE COMPLAINT FORM

The Pennsylvania Securities Com m ission is responsible for regulating securities activities in the Com m onwealth of

Pennsylvania. W e oversee the firm s and individuals who offer or sell securities or offer investm ent advice to the public.

Before filling out the attached com plaint form , please take the tim e to read these instructions. They will help you to understand

our functions, and we will be better able to understand and act on your com plaint.

W HAT W E CAN DO:

W e investigate com plaints against individuals, business corporations, and other entities for possible violations of the

registration, licensing, or anti-fraud provisions of the Pennsylvania Securities Act of 1972 adm inistered by the Com m ission.

W e are em powered to bring adm inistrative actions or civil law suits to stop these violations, render sanctions, and, in

appropriate cases, to refer m atters for crim inal prosecution. It is in the public interest to report alleged violations of the

securities laws, and we encourage you to do so.

W HAT W E CANNOT DO:

W e cannot act as a court of law. W e cannot order that m onies be refunded or that dam ages be paid. In som e instances

restitution or rescission is m ade to investors as a result of this agency's action, but those instances are not the norm . YOU

SHOULD NOT RELY ON US TO GET YOUR MONEY BACK FOR YOU. W e cannot enforce the Business Corporation

Law s, partnership laws, contract laws, or regulate the offer and sale of annuities. W e cannot give legal or financial

advice or act as your attorney.

HOW YOU CAN HELP US:

Organize your com plaint using these guidelines:

First, m ake a separate list of the things you want to say. Separate your feelings from the facts.

In Part D of this form , present the events in the order in which they happened, using dates whenever possible.

Tell us W HAT happened. Start from the beginning. Be specific as to what was said and who said it.

Tell us HOW you first learned of the investm ent opportunity or investm ent service.

Tell us W HO was present during these conversations or acts.

Tell us W HEN and W HERE these conversations/acts took place.

Tell us W HEN and W HERE the m oney and agreem ents changed hands.

Tell us W HY you decided to take advantage of the investm ent or investm ent service.

List the nam es, addresses, and telephone num bers of any others who you believe m ay have sim ilar

com plaints.

Type or print clearly in ink.

Enclose copies of docum ents such as stock certificates, bonds, lim ited partnership agreem ents, prospectuses,

confirm ations, letters, canceled checks (front and back), advertisem ents, papers, notes, or other docum ents that m ay

explain your com plaint. Do not send originals; we cannot be responsible for their safekeeping.

Rem em ber that your com plaint should describe the event or practice which you believe was unfair. If possible, you

should state why the event or practice was im proper.

Instructions For Completing The Complaint Form - State Of Pennsylvania