U.S. Federal Jurisdictions
This page: The Securities & Exchange Commission (SEC)
When and how to contact
The U.S. Securities and Exchange Commission - The SEC
The world of investing is fascinating, complex, and can be very fruitful. But unlike the banking world, where deposits are guaranteed by the Federal government, stocks, bonds and other securities can lose value. There are no guarantees. That's why investing should not be a spectator sport; indeed, the principal way for investors to protect the money they put into the securities markets is to do research and ask questions... http://www.sec.gov/about/whatwedo.shtml
The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a Federal court or before an administrative law judge, and negotiates settlements on behalf of the Commission.
While the SEC has civil enforcement authority only, it works closely with various [Federal] criminal law enforcement agencies [and polices offices] throughout the country to develop and bring criminal cases when the misconduct warrants more severe action... http://www.sec.gov/about/whatwedo.shtml
When to contact the SEC:
When you have knowledge or evidence of:
How to contact the SEC:
> You can file a complaint with the SEC online at http://www.sec.gov/complaint/selectconduct.shtml
> You can call the FTC at (202) 942-7040 or TTY: (202) 942-7065
> You can write to the FTC at:
> You do not have to be a US citizen or US resident to contact the SEC. If you are located outside the U.S., you can contact the nearest American Embassy or Consulate and speak with a Legal Attach?(a-ta-shay). Go here for a list of Legal Attach?: http://www.fbi.gov/contact/legat/legat.htm
The Attach?will either direct you to the correct office or contact the SEC personally. If you are unsure about contacting a U.S. representative on foreign soil, you can use any of the methods listed above.
If you are calling in a tip that you suspect someone of a violation, before you call write down what you want to say or make some of notes so you remember everything you want to report. There are few things more frustrating than remembering information you wanted to hand over after you've hung up the phone.
If you are calling in with direct, personal knowledge and experience, as always, have your narrative and evidence package ready.
The SEC is open to calls from non-US residents (citizen residents of foreign countries) who want to report U.S.-based criminal activity or crimes perpetrated by US citizens living abroad.