Broker-Dealer / Investment Adviser Complaint Instructions

If you would like to file a complaint against a licensed broker-dealer, securities agent, investment adviser or investment adviser representative, you may do so in the following ways.

• It is always recommended that you file a written complaint with the broker-dealer or investment adviser firm which handles your account. Your letter should include information on the problem you have experienced, how you have tried to resolve it, and what you would like to obtain in terms of a settlement or adjustment. Such letters should be addressed to the branch office manager, if there is one, or to the firm’s compliance department at the home office. You can then send a copy of that correspondence to the Division of Securities as your filing with us.

• If you have not sent a written complaint to the firm, you should still send a written complaint to the Division of Securities detailing the activity in question. You should provide as much detail about conversations or transactions as you can, in simple narrative form. Be sure to identify the individuals you dealt with in the transaction or with whom you have already addressed the problem.

In either of the above filing methods, you should also forward to the Division of Securities copies (not originals) of your monthly statements or confirmations showing any transactions in question, plus copies of any correspondence or other documents that help to explain the problem or your attempts at resolution.

Your complaint should be mailed to: Department of Financial Institutions, Division of Securities, PO Box 1768 Madison, WI 53701-1768.