Instructions For Filing A Complaint - Alaska Division Of Banking And Securities (Page 2 of 3) in pdf

Instructions For Filing A Complaint - Alaska Division Of Banking And Securities Page 2

INSTRUCTIONS FOR FILING A COMPLAINT

How to file a complaint

You can file a complaint with Securities Division by completing the attached complaint form and

sending it, together with copies of the documents that support your claim to:

State of Alaska - Division of Banking and Securities

Attn: Investor Complaints

P.O. Box 110807

Juneau, AK 99811-0807

Documents that you should send with completed complaint form include copies of:

Letters

E-mails

Trade Confirmations

Sales brochures or pamphlets

Offering circulars

Prospectuses or written offering memorandum

Purchase agreements

Stock certificates

Advertisements

Account Agreement

Account profile or Suitability reports.

Any other items that would help support your claim.

These items are not required in order to file a complaint, we simply ask that you provide them if you

have them.

PLEASE DO NOT SEND YOUR ORIGINAL DOCUMENTS, ONLY PHOTOCOPIES.

What should I say in my complaint?

The more information that you can provide, the more likely we will be able to promptly decide how we

can help you. In order to assist you, it is very important that you provide us with the names,

addresses, telephone numbers, and other identifying information concerning any person or entity that

you mention in your complaint. It is equally important for you to provide us with the details of any

transaction or activity you think violates the Alaska Securities Act. You should present the events in

the order in which they occurred and use dates whenever possible.

What will the Securities Division do with my complaint?

Upon receipt of your complaint, we will file the complaint in the Division's records and consider

making an inquiry into the matter. You should be aware that the initial evaluation of your complaint

might take several weeks. Moreover, it may take many months before the Division can make a final

decision as to whether we should bring an enforcement action based upon your complaint. It is the

Division's policy to conduct our inquiries on a confidential basis. This is done to protect the integrity of

the investigation and to protect the personal privacy of persons to whom unfounded allegations may

be made.

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Instructions For Filing A Complaint - Alaska Division Of Banking And Securities Page 2