National Association of Securities Dealers (NASD)
What actions should I take if I feel my broker has acted inappropriately? Inappropriate actions by a broker should be reported to the office manager. If nothing is done to solve the problem, a complaint can be filed with the firm's compliance department or the National Association of Securities Dealers. Information about filing a complaint with NASD can be found on the organization's website, www.nasdr.com.George Riles, First Vice President and Resident Manager, Merrill Lynch, Albany, GA |