If you have a complaint or inquiry regarding a specific NYSE order execution, be aware that NYSE Regulation cannot investigate your complaint without appropriate background information. In order to expedite our ability to respond to your concern, you will need to provide information that includes:
- name, address, telephone number, and email address
- name of security and stock symbol
- date of the trade
- specific order information
- Order type (for example: buy, sell, limit price or market order, etc.)
- Order size
- order identification code, branch code, and sequence number (readily available from your broker at no cost to you), and
- the specific nature of the complaint or inquiry.
If applicable, please include when and by whom the matter may have been previously referred or reviewed. Requests are handled in the order in which complete information is received.
If you want to file an inquiry or complaint, begin the process by clicking below:
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