If you have a dispute with a securities firm or securities professional, you may be able to resolve it with the firm. If the person you are dealing with is not helpful, contact a supervisor in the firm or the firm's compliance department.
Review your customer account agreement to determine whether you have agreed to procedures regarding dispute resolution. Most customer account agreements require the investor to take any dispute to arbitration, and not directly to court.
You can learn more about arbitration at the following websites: the Financial Industry Regulatory Authority (FINRA) site; the American Arbitration Association site; and the U.S. Securities and Exchange Commission site.
You are always entitled to file a complaint with the State Securities Board, even if you go to arbitration.