Complaints
(as of January 31, 2012)
Number of dealer Members: 213
Number of complaints currently under review: 139
Sources of complaints received
|
Source |
2012 (as of January 31) |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
|
Public |
22 |
303 |
409 |
457 |
452 |
374 |
405 |
|
ComSet |
19 |
415 |
589 |
682 |
795 |
599 |
652 |
|
Internal |
4 |
96 |
128 |
121 |
203 |
159 |
139 |
|
Other SROs and Commissions |
3 |
20 |
55 |
86 |
54 |
45 |
92 |
|
Other |
1 |
3 |
11 |
20 |
28 |
28 |
24 |
Types of complaints received
|
Type |
2012 (as of January 31) |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
|
Unauthorized and discretionary trading |
5 |
153 |
278 |
369 |
433 |
289 |
327 |
|
Unsuitable investments |
15 |
154 |
177 |
229 |
188 |
125 |
236 |
|
Misrepresentation |
8 |
64 |
109 |
135 |
170 |
121 |
117 |
|
Service issues |
- |
20 |
83 |
97 |
60 |
63 |
63 |
|
Other |
21 |
452 |
545 |
536 |
620 |
607 |
569 |