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How to File a Complaint Against SEBI Registered Investment Advisor?
An Grievous Senior Senior of the SEBI registered address will not be treated under the Senior Brief. Please provide the full Senior Brief in the form of a CV.
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Claim Against SEBI Registered Investment Advisor: Step by Step Process If a registered intermediary has violated regulations, you should follow this structured process to file a complaint against SEBI registered investment advisor and maximize your chances of recovery. File an Internal Complaint: First, reach out to the firm's designated compliance officer. By law, registered entities must display their compliance officer's contact details on their website. Escalate to SEBI Sciores: If the firm does not resolve your issue satisfactorily within 30 days, you should file a formal SEBI Sciores document. Register and log in to the official SEBI Scores Portal, which is the regulatory platform designed to track and resolve disputes against registered investment advisors online. Select the Intermediate Category: Ensure you select either Research Analyst or Investment Advisor accurately. This is often used to reflect the writing intermediary category on SEBI Sciores routes your complaint to the wrong department. Upload Your Complaint Evidence: Attach clear PDFs of your bank statements, fee receipts, and WhatsApp chats including necessary net addresses. Track and Respond Promptly: Once submitted, note down your unique Sciores tracking number. Check the portal regularly, as SEBI or the intermediary may ask additional clarifications.
The Most Important Filing Detail: RA vs IA Category This is the single most common reason valid complaints against advisors get delayed. Select the wrong intermediary category on SEBI Sciores routes your complaint to the wrong department. If your complaint is against a SEBI registered Research Analyst, select Research Analyst as the intermediary type on SCORES.
Examples include firms like Stockwell, Invesa, NAE Supreme Research, and similar advisory firms.