Submitting Your Claim
PRINTING STEPS
ATTACHMENTS STEPS
MAILING STEPS
PRINTING:
1. Download your completed claim form from the SIPC
Claim Form Online Center.
2. Save the completed claim form to your hard drive and then open it in
your favorite processor (Microsoft Word, WordPerfect, WordPad or any other
program that understands Rich Text Format).
3. Print the completed claim form and then move to the next step to gather
your attachments.
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ATTACHMENTS:
Make sure to include the following:
1. A complete COPY (not the original) of your most recent brokerage account
statement.
2. COPIES (not originals) of any other records (such as confirmation slips)
for all cash, stock and bond transactions with your brokerage firm since
[Filing Date], any correspondence with your brokerage firm, arbitration
claims, related litigation documents, etc.
3. Your check for any "debit balance" owed your brokerage firm.
(Review your printed-out form for the debit balance discussion.
If you owe money, you MUST send a check with your completed form.)
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MAILING:
1. Sign and date your printed-out form on the final page. If this is a
joint account, make sure that the other person (or persons) signs and dates
the form, too. Companies, trust accounts, etc., should provide documentation
that would validate the signatures.
2. Mail the completed form with documentation AS SOON AS POSSIBLE but no
later than the six-month filing deadline for your case. It should be sent
to either the individual trustee or SIPC, as indicated by the SIPC Online
Claim Form.
3. Make sure to send your envelope by certified mail.
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