is a registered representative who recently left ABC
Securities and has now registered with PDG Securities.
At the time he resigned from ABC, he had unpaid commissions
totaling $5,000. After repeated inquiries and several
months, Bob still has not been paid, nor has he been
given any definitive reasons why he hasn’t.
The best mechanism through which he may attempt to
recover his commissions would be:
a) Through the SEC’s mediation process.
b) By filing criminal charges in the state courts.
c) By filing for simplified arbitration under the
d) By filing a suit in the state’s civil court