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Complaints

Making a complaint Add to ...

You may want to make a complaint if:

  • you rarely hear from your adviser.
  • your adviser’s suggestions don’t seem to match your goals.
  • your adviser makes frequent or unusual trades.
  • you feel pressured to invest.

You may also consider making a complaint if you feel your adviser or firm has broken the rules. You should also report your complaint to your securities regulator.

Contact your provincial or territorial securities regulator

If you think an individual or firm has broken the rules, contact the securities regulator in your province or territory. Regulators investigate potential wrongdoing and can impose sanctions on individuals and firms that breach regulatory requirements. Your securities regulator can also help you understand your options for making a complaint. Find out how to contact your securities regulator.

If you want compensation

You have different options to choose from when you decide to make a complaint and want compensation. Use this infographic guide to help you make the right decision.

3 tips for making an effective complaint

  1. Gather your facts – Think about the problem and the result that you want. Write down the main points in the order that they occurred.
  2. Put your complaint in writing – If you have everything in writing, you can easily keep a record of events. Without this record, the complaints process may be more difficult.
  3. Document everything – Make sure you document all the steps you take to get your complaint resolved, including telephone conversations, e-mails and faxes.

The Ontario Securities Commission has more tips on making a complaint.

Content in this section is provided in partnership with Investor Education Fund, a non-profit organization founded and supported by the Ontario Securities Commission that provides unbiased and independent financial tools to help Canadians make better money decisions. To find out more, go to: GetSmarterAboutMoney.ca

Follow us on Twitter: @GlobeInvestor

 

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