Want to learn more about how to complain against your advisor or firm?
We have created different resources to guide you through the complaints process. Check out the following investor resources:
Curious about how many complaints IIROC gets? Visit our Enforcement section to see statistics on the number of complaints, investigations and prosecutions that IIROC handles on a yearly basis.
- Take notes: Whenever you talk with your advisor, take notes about what was said.
- Don’t delay: Delays could limit your options and legal rights later on.
- Have all your details ready: More detail will work in your favour, including any relevant documentation, such as notes on meetings and discussions.
- Keep a file: Keep copies of letters, faxes, emails and notes of conversations.
For more detail on these Tips and other information on handling your complaint, consult the Canadian Securities Administrators brochure Getting Help with Your Complaint