Typically, market losses on an investment are not grounds for a complaint, but operational mistakes can happen. If you notice errors in your account, you should send a letter describing the problem to your broker-dealer or investment adviser. Use information from your account statements to support your claim. Keep a copy of the letter for your records.

Investment Problems
If you feel that you may have grounds to file a complaint, you may contact our staff to discuss your problem. You may wish to contact a private attorney to determine what additional course of action is available to you.

Contact Information

• Office of the Kansas Securities Commissioner
  109 SW 9th St., Ste. 600
  Topeka, KS 66612-1215
  1-800-232-9580
• Complaint Form