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How to File a Complaint Against RIA?
To guide beginner traders and investors there are registered Research Analyst & Investment Advisors who provide services like guiding with stock market tips & proper investment advice respectively.
These RA & IA are only allowed to provide tips & advice on the basis of your risk appetite.
In case they are involved in providing any kind of guaranteed returns or misuse their rights that leads to your financial loss then you can report this case to compliance officer & SEBI to get recovery of your losses.
You can report a case against registered RA & IA in one or more above issues mentioned below:
- Providing misleading or false investment advice
- Unauthorized transactions or recommendations
- Overcharging or hidden fees
- Inadequate risk disclosure
Steps to File a Complaint Against a Registered Investment Advisor
To file a complaint against a registered entity gather all the information and keep all the proofs handy.
You can start by reaching out to the compliance officer of the firm or organization where RA & IA are employed.
- In case, RA or IA runs an independent firm, you can directly report the case to SEBI.
- Register to the SCORES portal and register if you are a new user.
- Login using your credentials and file a complaint by choosing the right category & sub category.
- Upload proofs and documents to validate details mentioned in the complaint.
- Submit and note down a tracking number to check the status of your complaint in the future.
Regulatory body in the stock market is to safeguard your interest and to provide you satisfactory support.
However, to get a timely solution to your complaint make sure you follow up and provide a reply to any further queries or questions related to your complaint.
