Make a Complaint
How to Make a Complaint
If you have a complaint about a financial services firm regulated by the Securities Exchange and Investment Protection Commission (SEIPC), follow the steps below to resolve your issue.
Contact the Firm First
Before contacting the SEIPC, you should first try to resolve your complaint directly with the firm. All regulated firms are required to have a complaints procedure in place.
How to complain to a firm:
- Contact the firm's customer service department
- Clearly explain your complaint and what outcome you are seeking
- Keep records of all communications, including dates, names, and what was discussed
- Ask for a written acknowledgment of your complaint
- The firm should respond to your complaint within 8 weeks
Contact the SEIPC
If you are not satisfied with the firm's response, or if you have not received a response within 8 weeks, you can escalate your complaint to the SEIPC.
What you'll need to provide:
- Your contact details
- The name of the firm you're complaining about
- Details of your complaint, including relevant dates
- Copies of any correspondence with the firm
- Information about what you would like the firm to do to resolve your complaint
SEIPC Review
Once we receive your complaint, we will:
- Acknowledge receipt of your complaint within 5 working days
- Assess whether your complaint falls within our jurisdiction
- Contact the firm to get their response to your complaint
- Review all the information provided by you and the firm
- Make a decision on your complaint
Resolution
After reviewing your complaint, we will:
- Inform you of our decision
- If your complaint is upheld, we will direct the firm to take appropriate action
- If your complaint is not upheld, we will explain the reasons for our decision
- Provide information about any further steps you can take
Submit Your Complaint
You can submit your complaint to the SEIPC using one of the following methods:
Send your complaint details to our dedicated email address.
complaints@seipc.org
Post
Send your complaint in writing to our postal address.
Complaints Department
Securities Exchange and Investment Protection Commission
123 Financial Street
Phone
Call our Consumer Helpline for assistance with your complaint.
+123 456 7890
Monday to Friday, 9am to 5pm
Compensation
In some cases, you may be eligible for compensation if you have suffered financial loss due to the actions of a regulated firm. The SEIPC can direct firms to pay compensation up to a maximum of $150,000.
For larger claims, you may need to pursue the matter through the courts. We can provide guidance on this process if necessary.
Consumer Navigation
Complaint Status
If you have already submitted a complaint, you can check its status using our online portal.
Check Complaint StatusHelpful Resources
Need Assistance?
Our Consumer Helpline is available to assist you with any questions about the complaint process.