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 […]