Investor's Guide To Effective Complaints

Ken Kivenko (author of kindly (again!) sent me an email with his latest work: The Investor’s Guide To Effective Complaints which is published under the Kenmar Associates banner (which is Ken’s other endeavour focused at investor protection and education).

Some Highlights

  • Don’t forget that a firm’s compliance officer is paid by the firm.
  • You may want to make notes on your meetings and phone calls with your advisor (because they are making notes for their records).
  • Keep copies of ALL paperwork (your copy of the initial account opening agreement and all transaction confirmations, etc.)
  • There is a list of organizations that can assist you if you feel overwhelmed
  • You’ll get an idea if restitution is possible and the costs potentially involved in going down that road

If you are an investor you would do well to learn about making an effective complaint. You can build a stronger case for yourself if you follow some simple steps outlined in this guide. CLICK HERE TO DOWNLOAD A COPY OF THE INVESTOR’S GUIDE TO EFFECTIVE COMPLAINTS.

Thanks Ken!

Preet Banerjee
Preet Banerjee an independent consultant to the financial services industry and a personal finance commentator. You can learn more about Preet at his personal website and you can click here to follow him on Twitter.
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Showing 2 comments
  • Mark Wolfinger

    Everyone needs this information.
    Thanks for posting

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