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I purchased some stock a time ago and have confirmation

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I purchased some stock a...
I purchased some stock a long time ago and have confirmation number from Ameritrade. The stock is not in my account and they will not respond to any questions. What kind of attorney should I hire to go after them?
Submitted: 4 months ago.Category: Finance
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Answered in 21 minutes by:
7/24/2017
Financial Professional: Chad CFP ®, CERTIFIED FINANCIAL PLANNER TM, Professional replied 4 months ago
Chad CFP ®
Chad CFP ®, CERTIFIED FINANCIAL PLANNER TM, Professional
Category: Finance
Satisfied Customers: 874
Experience: Managing Director
Verified

Hello, My name is***** am a Certified Financial Planning ® Professional

At this point you do not need an attorney. You do need to send a request in writing for the information you requesting to your advisor and the brokerage firm. Brokers are generally obligated to respond to written complaints and those complaints also should be forwarded FINRA.

If you do not receive a response in a timely manner, your next step would be to file a complaint with FINRA. I have attached a link to how to file the complaint online HERE

FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.

Hopefully this is just a case of miscommunication. Through the Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.

If you do have further questions or if my answer was incomplete or needs further clarification please let me know and I would be happy to extend my answer.

Rate my service by using the stars, or faces on your screen and clicking submit.

I hope you feel that I provided you with 5 Star services and I look forward to working with you in the future.

Regards,

Chad CFP ® professional

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Chad CFP ®
Chad CFP ®, CERTIFIED FINANCIAL PLANNER TM, Professional
Category: Finance
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