Ombudsman Matter Management System (OMMS) Submission Form

Thank you for contacting the Ombudsman for assistance. For more information about the Office of the Investor Advocate and how the Ombudsman may be able to assist you, please visit https://www.sec.gov/investorad.


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Important InformationImportant Information - Please Read

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About You

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Generally, a 'retail investor' is an individual investor who buys and sells securities for him/herself, and not for, or on behalf of, an institution or organization.
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Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
**You must provide either a phone number or an email address.

Your Matter

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A Self-Regulatory Organization, or SRO, is a securities
market participant that manages its industry through
the adoption of rules governing the conduct of its
members. SROs also enforce the rules they adopt and
discipline members for violating SRO rules. Most, but
not all, SROs also operate and regulate markets or
clearing services. For more information about SROs,
please visit https://investor.gov/introduction-
markets/how-markets- work/market-participants.
Please visit https://www.sec.gov/rules/sro.shtml for
a listing of SROs.
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Go to https://www.sec.gov/fast-answers for more information on the types of securities and investment products listed.
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Tell us more about yourself and your matter.  Please provide, for example: a detailed description and timeline of significant events, conversations, and correspondence; your questions or concerns about the investment product or security involved; and any other helpful information about the individuals and entities you have contacted about this matter.

Additional Matter Details

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Entities And Individuals Involved

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Please identify the entities or individuals involved in or related to this matter below:

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Entity/Individual Involved
Entity Phone 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.

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