I had been having a problem
with the firm
that I do business with
I wasn't getting any resolution.
I would call different 
departments, and they would
send me off into Nowhere-land. 
It was a complicated problem.
It had to do with tax reporting.
and it was being misreported
and/or had changed.
But every year, for two years,
it came up at tax time.
I got riled up, trying
to fix the problem.
■ Meggie had been receiving,
for about 10 years,
royalties from an oil-and-gas
program that
she owned shares in.
At some point, the firm 
recommended to her that 
it would be best if she had
the royalties direct-deposited.
They were classified
as dividends,
which had a different
tax consequence.
Ultimately, a negative
consequence to her.
This was very upsetting to me.
So, I tried to reverse what
I had done. 
I wanted my certificate back.
I just wanted to be
made whole again.
I just wanted to go back to
not having to
deal with this anymore.
Somehow, I found FINRA.
Ta-da! [ Chuckles ] 
- When Meggie called, we
spoke at length about her
frustrating situation.
the person on the other end
listened very carefully
to everything I said.
She provided a lot of
detail and history.
about this investment.
I wasn't really hopeful,
to be honest.
In this situation, we were
the regulatory body,
and we were able to work
with the firm
to get this resolved.
- Once Narielle reached out
to the firm and explained
the situation 
They decided to 
reissue the physical
certificates.
- I got a call back,
not from that person,
but from his boss
and his boss was
very interested 
in resolving the problem
Immediately. And he did.
It was shockingly fast.
There was a lot of satisfaction
in bringing this 
to a positive end.
You just have to be hopeful.
And believe that ...
you can make things right.
I hope that more people
will be more aware of FINRA.
