Avoiding the Most Common Claim Process Errors

1. Improper identification. Typical mistakes include incomplete personal contact information or incorrect references to the brokerage firm involved in the claim.

2. Missed deadlines. Make sure that you take the time to determine when the six-month deadline runs out on your claim.

3. Incomplete form. Make sure you fill out the claim form completely. Incomplete claim forms may delay processing of your claim.

4. Missing attachments. You must attach copies of all key documents that are relevant to your claim. Failure to attach such documents may result in delays or even, in some cases, denial of claims.

5. Originals of attachments. You should never submit original documents to SIPC. Originals that are lost in the mail may be difficult or even impossible to replace in a timely way. Please make copies of all your attachments and then submit the copies of the attachments by certified mail.