Author Topic: Nothing to do with MR but I really need help!  (Read 2030 times)

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clevelandbrowns01

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Re: Nothing to do with MR but I really need help!
« Reply #4 on: March 20, 2019, 12:06:17 AM »
Issue resolved today finally!  Thanks for suggestions.

MrTShirt

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Re: Nothing to do with MR but I really need help!
« Reply #3 on: March 13, 2019, 05:27:02 AM »
I think there are both state and federal agencies that may govern brokerage firms.

You could check a competing brokerage firm as to who governs them.

You can also go to a bank, the estate department.  They may be able to tell you who to see.

You also have state attorney general office and a local branch of the Dept of Justice.

In addition, you have elected officials, both at the state and federal levels who could tell you who to see.

johann

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Re: Nothing to do with MR but I really need help!
« Reply #2 on: March 13, 2019, 03:51:45 AM »
I can't directly answer, but I can suggest where to ask to get some suggestions.

It can occasionally be a bit toxic, but the Stack Exchange collection of web sites can sometimes turn up an idea.

I'd start by asking on https://money.stackexchange.com/ which is their personal finance site.

You'll be flagged as a "New Contributor" when you ask your first question, which will sometimes bring out some help.  As long as you're civilized and calm, you might get something.

I'd also suggest cutting it to the bare minimum: You need these documents from the brokerage, let them know that you've asked numerous times and been stonewalled so far.  What other options can they suggest, meaning what effective threat if any is there that can be brought.

One thing I will add, and you may well get this advice from there as well, if you're not already doing so keep a journal of your communications.  When you wind up talking to someone, almost always nowadays they give their "name".  Note that down, because now you have a way of holding the individual representative accountable.  And keep notes regarding the content of the conversation: what you asked, what their responses were, etc. etc. etc.

Depending on the jurisdiction you're in you may be able to legally record the call without telling them.  Or you could tell them you're recording the call, and if they get tight-mouthed, ask to speak to a supervisor.

One other note.  Be a bit careful choosing your handle on that site, since it may be possible to link that handle your identity here, by virtue of the similarity of the questions.  Unlikely that it'll happen, but still worth noting depending on how important your privacy here is.

clevelandbrowns01

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Nothing to do with MR but I really need help!
« Reply #1 on: March 13, 2019, 03:04:24 AM »
I need help (there's a shock)... I've been dealing with a brokerage entity's customer service people since August trying to get them to provide me a report.  A report they are essentially legally obligated to provide. It needs to go to a lawyer for estate paperwork.  I can't ask the lawyer to contact them or the lawyer will charge me a fortune.

I'm exasperated with the brokerage's customer service. I've yelled and screamed (not my personality at all), been nice and considerate, and dang near was in tears the other day. I have made the request in written form twice  (total waste of time - who knows where they went...) and talked to numerous different people by phone over last few months. I was promised the report on the phone by end of last week.  Again, nothing....  I called on Monday and now the latest claim is they're so busy due to tax time - they won't provide me an ETA.  What the hell to do?  This report costs them nothing - I'm not asking for discounts or free stuff. My God, I'd pay for the damn thing if it would get action.  Other brokerages have provided me similar reports in a day or two!  This brokerage even gave me the report for a second account months ago w/out difficulty. I keep mentioning all this and am getting nowhere.

My next phone call tomorrow - I'm asking to talk to supervisor / manager.  I already tried that once and they wouldn't let me but the next call will no doubt be with  a different person so I could try and demand it.   They don't have physical locations unfortunately.  Threatening to close the accounts is an option but it's not very practical to actually do that at this point.  And these accounts are a drop in the bucket for this entity. That threat isn't likely to resonate.

What else can I do?