Resolving Disputes

Last updated: April 13, 2016

Learn How To Resolve Disputes When Investing

Most arrangements between investors and their brokers or advisers are trouble-free. 

  • If your investments simply do not do well, your broker or adviser is not responsible.

Occasionally legitimate problems do arise. If you are not satisfied with the answer to your complaint, you do have means to see it resolved. 

Speak with your broker’s manager or the firm’s compliance officer. 

Be sure to put your complaint in writing and ask for a written response to your problem. 

  • This correspondence serves as documentation. You will need it if your complaint goes to arbitration or other dispute proceedings.

Arbitration costs less and moves faster to resolve a dispute than traditional litigation. However, you generally give up your right to pursue the matter in court if you submit to arbitration.

  • Its awards are almost always final.

If you believe securities laws have been violated, contact the Kansas Securities Commissioner.

  • The office helps you investigate complaints. It also helps prosecute violators and impose administrative sanctions against the broker and/or firm. 
  • However, the Kansas Securities Commissioner cannot provide legal representation to individual investors.

*The information on this page is credited to IPT and Kiplinger. Their original materials are made available on the Kansas Securities Commissioner's website.

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