So I gathered all my stock options, monthly investing statements and every other financial document I thought might be of importance and headed into the office.
My client was receiving monthly unaudited performance reports prepared by the adviser, however, the annual audited financialstatements the adviser had committed to furnishing in the offering document had not been produced in the past three years.
Investors who cannot communicate in English should make arrangements to have someone that they trust and who is competent to translate financial documents, timely review all communications from the brokerage firm: trade confirmations, monthlystatements, notices, letters, etc.