The investment community isn’t immune to the possibility of problems, particularly when it comes to an investor’s expectations, the complex nature of investing and the potential hazards of fraud and misconduct. Both Paul Greene and SEC experts want you to understand that while you may be experiencing a problem with your investment professional or a particular investment, that there are indeed effective ways to remedy the situation, and to express your dissatisfaction with the individual or the status of your financial commitment.

Below, Paul Greene and SEC experts provide several helpful steps to take in order to ensure faster and more effective resolution to your investment problem.

Communicate with the Professional

Before doing anything else, says Paul Greene and SEC experts, be sure to accurately convey your particular issue with your financial professional. Take the time to explain your specific problem, and to determine who, if anybody, the fault resides with, as well as any lapses in communication that may have occurred during your investment’s time period. Keep track of every conversation with your financial professional, and share your notes on the progress and/or lack thereof with them.

Find Resolution Above

If you for any reason are unable to satisfactorily resolve your issue through a direct communication with the financial professional, says Paul Greene and SEC experts, pursue resolution with the professional’s supervisor or company superior. For brokers, this may often be the firm’s branch manager. A manager of supervisor may be better equipped to handle your issue, and/or to work things out, then the specific financial professional.

Compliance Department

If you’re problem persists, even after discussing the issue with both the professional and their immediate supervisor, do your best to contact the firm’s compliance department, which can generally be done in writing. Be succinct and clear about the nature of your problem, and exactly what it is you want out of the resolution. If a resolution isn’t achieved within an acceptable time frame, says Paul Greene and SEC experts, send a copy of your letter to both your state securities administrator and to the SEC Office of Investor Education and Advocacy.