Investor Protector is kindly asking for your input.

Investor Protector’s main goal is to form and compile an extensive database of information about the investment industry and its’ registered representatives for the purpose of sharing and educating all investors. Please take a moment to post your personal experiences and assist in forming a nation wide network of informed and educated investors.

Have you Filed A Complaint?

frustrationIf you have ever filed a complaint within the securities industry Investor Protector would like to hear from you.

1.  If you have filed a complaint ( written or verbal )  about your broker/ advisor to the brokerage firm.

2.  If you have filed a complaint with your Department of Financial Service Regulators.

3.  If you have filed a complaint with the Securities and Exchange Commission.

4.  If you have filed a complaint with (F.I.N.R.A.)

5.   If you have been through the F.I.N.R.A. arbitration process.

Please E-mail Investor Protector with details of your complaints at

Also please explain how your complaint was dealt with.  Your personal experiences will prove invaluable in forming a nationwide network of educated investors.

The time has come to create a nation wide network of informed investors and for the INVESTORS to CONTROL and SHARE the information concerning brokerage firms and their broker/ advisors.

As I have discussed, most brokerage firms are very experienced at dealing with complaints and as a result there are many complaints that never get documented with F.I.N.R.A.

Listed below is a random sample of the nations largest brokerage firms. Investor Protector would like you to know that even though every brokerage firm is well aware of the rules and regulations they are supposed to follow, each firm has pending Arbitration Events as well as Regulatory Events. Some brokerage firms play a game of ” Catch Me If You Can ” with investors and their regulators. If investors band together to form an information network, we can all become knowledgable about which firms and brokers to frequent and which to stay away from.


Brokerage Firm Arbitration Events Regulatory Events
Stifel Nicolas CRD# 793 37 91
Wells Fargo CRD# 19616 290 129
Charles Schawb CRD# 5393 248 39
Raymond James CRD# 705 64 99
Merrill Lynch CRD# 7691 992 440
Edward Jones CRD# 250 152 53
Fidelity Investments CRD# 17507 21 3
Morgan Stanley CRD# 8209 48 329
UBS Financial Services CRD# 8174 391 387


Ladies and gentlemen, if you do business with an investment or brokerage firm and you do not audio tape and document all your conversations you stand a very good chance of ending up as one of these statistics.