complaint

[NAME]

[TITLE]

[ADDRESS]

Dear Mr Man,   

Today I received my account statement from your office for the period ending 3/31/19– and found my instructions for rolling over stock into my ABC had not been carried out. I face severe tax consequences if this account cannot be corrected to indicate a rollover of my company stock into another qualified retirement plan within the next 14 days. 

Needless to say, I am disappointed these instructions have not been followed and am inconvenienced by having to write this second letter of instruction. (Ms. Mary, the account executive assigned to me, says she lost my January 16 letter.) 

Please take the following actions to correct my account: 

1.   Roll over 406 shares of A Company common stock into my qualified ABC account #12345678. 

2.   Roll over 150 shares of XYZ common stock into my qualified ABC account #10111213. 

3.   Make the effective date of both transactions February 1 because the delay in the rollover was due to mishandling of my previous instructions. 

I know you wish to maintain the good reputation of your brokerage firm, and I am counting on you to take care of these transactions immediately. 

Yours truly,

[Signature]

[NAME]

[TITLE]