When dealing with a broker, it’s best to do it in writing. That way, if there’s a problem, you have a paper trail that suggests how you wanted the trade to happen. If you suspect that you are the victim of securities or investment fraud, here are some places you can go to get more information:

U.S. Securities and Exchange Commission
202-942-7040
www.sec.gov

National Association of Securities Dealers, Regulation
800-289-9999
www.nasdr.com

Investor Protection Trust
www.investorprotection.org

Alliance for Investor Education
www.investoreducation.org

North American Securities Administrators Association
www.nasaa.org

Here you can find information about your state’s securities protection office.

August, 2001.