Posted to the Full Service Brokers board:http://boards.fool.com/Message.asp?mid=14787515Can anyone here help?
Can anyone here help? I can offer a suggestion.In 1998 I transfered a large sum of money into an IRA with a large investment company, and in 1999 they sent a Form 5498 that covered only a portion of the transfer. I called and wrote them, and set deadlines, asking for a Form 5498 to cover the remainder, and still heard nothing. After several months of frustration -- the paperwork was now over 14 months overdue -- I went to www.sec.gov/complaint.shtml and submitted an online complaint. Within two weeks I received correspondence from the company, and within a few more weeks the missing forms finally arrived. Because I had already written to the company and called several times, all this information was in my files at the firm, so they didn't feel they were blind-sided by my complaint to the SEC -- they were apologetic, but what counted was, I got my paperwork and my hassles were over.As long as you have kept notes, when you called or wrote, what you requested, whom you spoke with, what you were told, and what happened after that, you can just include all this in the SEC Complaint and I think it will help get the info you need -- if it can be found.Perhaps there's another way, by continually asking to speak to someone's "supervisor", but it sounds like you have given them enough chances to meet their obligations.Anyway, that's my suggestion. I think it helped me get results.Hope that helps,Ron/Phooley in Phoenix
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