Consumer Protection Law
Consumer Protection Law Questions? Ask a Lawyer Now.
Welcome and thank you for your question.
I just want to make sure I understand the facts correctly. You purchased the stock you did not go through a broker you used Capital One? Can you tell me the name of the company that facilitated the purchase?
The gentleman I spoke to stated that since I went through Capital One to purchase the stock and not a broker that they would not pursue any legal action on my behalf.
Is the gentleman you are referring to from Soreide Law Group?
Thank you. I did not want to assume anything and be wrong. Yes, I see what has been going on in the news and the lawsuits involved with Capital One Investing. Give me a few moments to put some information together for you. Thank you for the clarification.
I was going through countless complaints in Capital One Investing.
I am not sure why that particular firm is not handling your complaint, it may be because of licensing requirements for brokers and the purchase does not fit the cases they are taking.
Have you filed a complaint directly with the SEC?
It is like Bernie Madoff, he actually advised the SEC.
The firm may only deal with complaints regarding licensed brokers.
Let me put together all of the links that are tasked with consumer protection in these situations that will investigate your complaint. The first is the SEC https://tts.sec.gov/oiea/Complaint.html
Give me a few moment to put all of the links together for you. Thank you for your patience.
The Washington State Department of Financial Institutions (DFI) provides regulatory oversight for our state’s financial service providers. You can file a complaint at http://www.dfi.wa.gov/consumers/file-complaint/investor-complaint/investor-complaint-form
The Kansas Securities Commissioner:
Contact the Securities Commissioner for complaints concerning investments or securities, financial professionals, or questions about securities fraud. You can do a background check on your investment professional to find information such as criminal history, disclosures regarding complaints, regulatory actions, and more here: ksc.ks.gov/BackgroundCheck.
This is the complaint link https://kansasmoney.gov/categories/file-a-complaint
The FBI investigates these matters as well. https://tips.fbi.gov/
They become very aggressive investigating these crimes.
Now let me see what I can find on the company and CEO.
The SEC is all over the CEO and so far the damages they are seeking is 80 million. Let me check Soreide Law Group. It may just be that you will have file directly because you used Capital One Investing. Where are you located in Kansas so I can provide security Attorneys in your area that provide FREE legal consultations. There is no question that you are a victim of securities fraud?
As we suspected the Soreide Law Group only represents you if a licensed broker was involved. No worries we have the SEC, the FBI, DFI and the State resources. Give me one moment to provide a link for attorneys. You can file the complaints online today as well.
This is a link for Attorneys in your area that provide free consultations http://lawyers.findlaw.com/lawyer/firm/securities-law/topeka/kansas
Please do not hesitate to ask me any additional questions that you may have with regard to this matter. It would be my pleasure to continue to assist you.
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I wanted to make sure that you also contacted Capital One?