August 26, 2013

How to make an investor complaint?

The Commission has the authority to investigate and adjudicate all complaints lodged with it under section 50 of the Act. The staff of the Commission reviews and investigates all complaints and tips related to the securities industry, including but not limited to those made against registrants (broker-dealers, investment advisers, underwriters, and reporting issuers) Complaints must be made in writing. Upon receipt of a complaint or tip if the actions of these individuals or companies suggest a possible breach or possible breaches […]
July 31, 2013

TTSEC hosts Investor Education Webinar

The Commission continues to educate and empower consumers of financial products and potential investors “Great webinar! Thank you.” “I would like to commend the TTSEC on this initiative of Investor Education via Webinars. I think it is an excellent idea and I look forward to future webinars.” “Dear TTSEC, I applaud your initiative to educate current and potential investors. The information provided in this webinar was certainly useful, mildly entertaining and most importantly to the point. Well done.” “Good day […]