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TN Form 5558: What You Should Know
We believe that some State agencies have created these services but may not be listed on the department website so if you wish to search these services, you should do so in a one-stop order. You need to submit information on your services online. Get free advice from an FTC Association. Click here to view the state-specific information provided on the FTC website. Visit Your Local FTC Office To get help from an FTC officer, or to file a complaint, or to receive an information or complaint form, please call (855) FTC-HELP (435)4357 and ask to speak to a Law Enforcement Officer at: Telephone hours: 8:30 am — 4:30 pm Eastern Time. Do not rely on mail for your FTC mail. All FTC mail is sent through the U.S. Postal Service (USPS). Our FedEx mailing addresses are: FTC: 1800 K Street NW Suite 710 Washington, DC 20006 Telephone Numbers: (877) FTC-HELP) USPS: FTC Envelopes with your complaint/frivolous lawsuit that have been returned unopened or addressed to you are available for return online at . To file a Form 5489. (Rev. July 2006) How To File Complaint Against a Broker, Securities Broker, Investment Adviser or Brokerage Firm In most cases the FTC can't sue a broker, securities broker, financial adviser or investment adviser. This is because: 1. a broker, securities broker or financial adviser engages in a business within the ordinary course of his or her trade or business and, as such, must comply with applicable laws and rules, 2. A broker is not a money transmitter and therefore is exempt from the jurisdiction of the FTC, 3. A broker acts within the scope of his or her trade or business. For example, one investment adviser might sell individual mutual fund units, a securities' investment firm might buy other investments and a broker dealer might sell or fund portfolios; 4. It is unnecessary for the Commission to bring a lawsuit against a broker, securities broker, financial adviser or investment adviser because no violation of the Federal securities laws occurred that would give rise to substantial injury, and a court cannot enjoin conduct that is already in place or that may take effect; 5.
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