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Posted by John A. Weeks III on December 17, 2007, 11:59 am
> Does anyone know of the best place to file a formal complaint re:
> misconduct of a 401K rollover request? The person is a certified
> financial planner, but wasn't really acting in that role for me as far
> as I can tell. I see that cfp.net has a complaint form and was thinking
> of starting there anyway. Any advice on a better venue would be greatly
> appreciated.
One place to start is with the compliance officer at the brokerage.
This person is responsible for making sure that everyone in the
brokerage follows the law does things properly.
-john-
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John A. Weeks III 952-432-2708 john@johnweeks.com
Newave Communications http://www.johnweeks.com
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