Complaint Form - Utah Division Of Securities Page 4
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11Block B(5) – Questions About Your Investment. Answer the following account questions if the y
apply to your situation:
Yes
No
N/A
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If you used a broker, were investments in the account solicited, or
recommended by the broker?
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Were trades made in your account without your authorization?
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Did you receive a prospectus, private placement memorandum, private
offering memorandum, disclosure brochure, or any other disclosure
document before making the investment?
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If a private investment opportunity, did you receive audited financial
statements on the company?
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Did the person selling you the investment discuss the risks of the
investment prior to purchase?
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Do you feel the investment was in line with your investment goals?
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Did you have the financial ability to absorb the risk of the investment?
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Did you understand the risks of the investment?
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Did you understand where your money was to be invested?
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If you used a broker or investment adviser, have you filed a complaint
with the brokerage or investment advisory firm in question?
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If your investment was made from a brokerage account, did your account
have a margin agreement?
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If you used a broker or investment adviser, did they have power of
attorney or the authority to enter transactions in your account?
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If you used a broker or investment adviser, have you filed a complaint
with the brokerage or investment advisory firm in question?
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