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Filing a Complaint

We keep complaints confidential, but we must be able to contact you for more information. We cannot act on complaints that are made anonymously or that are not in writing.

How to File a Complaint

If you have serious concerns about the way your investments have been handled, a company you have invested in, or believe securities law has been breached by a company or individual, you can make a formal complaint to the Prince Edward Island Securities Office.

If your concern is with your investment account, financial advisor or investment company, your first attempt to resolve your dispute should be with your financial advisor, the branch manager, or the compliance officer. If the matter relates to an (IIROC) Investment Industry Regulatory Organization of Canada or Mutual Fund Dealers Association member firm, you may wish to contact the Association.

If you would like to send a complaint to our office you must include enough details so we can determine what actions might be necessary. Please be prepared to explain:

 

  • What your complaint is about.
  • When the incident took place (dates, times, etc.)
  • The steps you have taken during the course of the situation.
  • Names and addresses of those involved, and your relationship to the company or individual at the source of the complaint.
  • If you have any copies of letters, cancelled cheques, account statements, or other documents that will help explain your complaint and support your statements. You may be asked to provide these hard copy documents at a later date.
  • Other relevant information that would be helpful to better understand your concerns.

    Should you wish to file a complaint via regular email, fax or letter, be sure to include all of these details. Send to:

    Janice Callbeck 
    PEI Securities Office
    P. O. Box 2000
    95 Rochford Street
    4th Floor, Shaw Building
    Charlottetown, PE  C1A 7N8

    Phone:  902-368-6288
    Fax:       902-368-5283
    Email:    jccallbeck@gov.pe.ca

    What will the Securities Office do with my Complaint?

    Securities Office staff will review your complaint to determine whether there has been a breach of Prince Edward Island securities laws. They will investigate the alleged misconduct and may recommend the imposition of administrative sanctions. Some complaints may be referred to other agencies where appropriate.

    We will advise you of the final outcome of our investigation into your complaint. However, it may take several months, and perhaps longer, to complete the review and investigation.

    What is the Securities Office unable to do with my Complaint?

    While the Office does attempt to assist members of the public in reaching a satisfactory resolution to their concerns, we are a regulatory agency and we cannot:

    • order that money be refunded or contracts be cancelled
    • award damages or costs
    • provide any legal advice or recommend a lawyer

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