Total complaints
1
Filed since Tran
2026 data Public-data reference. official source
and as Securities Intermediary
1 consumer complaints recorded in the CFPB Consumer Complaint Database, with breakdowns by product, state, and complaint year.
1 consumer complaints filed with the CFPB
This profile shows and as Securities Intermediary's complaint history from CFPB public records. 1 consumers have filed complaints since Tran. The company has a 0% timely response rate and has provided relief in 0% of cases.
1
Total Complaints
0%
Timely Response
0%
Disputed
0%
Relief Provided
1
States Active
Tran
Since
Timely response
0%
CFPB-tracked response window
Relief rate
0%
Closed with monetary or non-monetary relief
Timely response rate 0.0%
Federal benchmark
CFPB benchmark: response within 15 calendar days of filing.
Relief rate 0.0%
Industry median
Share closed with monetary or non-monetary relief.
and as Securities Intermediary complaint mix by product
- seeking American 1 100.0% – 0% relief
How and as Securities Intermediary's 1 complaints split across CFPB product categories. Resolution rate badge = % closed with monetary or non-monetary relief.
Complaints by Product
| Product | Complaints |
|---|---|
| seeking American Express to fulfill its fiduciary duties in a barter agreement. I have provided you with a promissory note via my original credit application | 1 |
Top States
| State | Complaints |
|---|---|
| it states that Eligible Investments means negotiable instruments | 1 |
Top Issues
| Issue | Complaints |
|---|---|
| thus making me eligible to receive benefits in exchange. The reason my application can be considered a promissory note is because it is a signed document that is transferable to third parties and also promises a sum of payment | 1 |
Source: CFPB Consumer Complaint Database CFPB Consumer Complaint Database
What the CFPB Record Shows About and as Securities Intermediary
and as Securities Intermediary has accumulated 1 consumer complaint in the CFPB public database, with filings active across 1 U.S. state. Of those submissions, 0 include a consumer narrative — the verbatim description of the reported problem that the CFPB collects alongside each filing. The earliest complaint on file dates back to Tran, and the most recent logged activity is Transfer A, giving this record a multi-year window of observable consumer sentiment.
Looking at response behavior, and as Securities Intermediary reports a 0% timely-response rate and has closed 0% of cases with a written explanation to the consumer. 0% of complaints were closed with monetary or non-monetary relief — an outcome signal that tracks how often consumers walked away with some form of remediation. A further 0% of responses were formally disputed by the consumer after the company replied, a useful marker of resolution quality independent of sheer volume. The most-reported product category for this record is "seeking American Express to fulfill its fiduciary duties in a barter agreement. I have provided you with a promissory note via my original credit application", and the single most common underlying issue is "thus making me eligible to receive benefits in exchange. The reason my application can be considered a promissory note is because it is a signed document that is transferable to third parties and also promises a sum of payment".
Complaint volume is heavily influenced by company size, customer base, and market footprint — larger financial institutions routinely carry more filings purely because they serve more consumers. A complaint is a consumer-reported allegation, not proven wrongdoing, and a timely or relief-flagged closure does not by itself confirm fault. Use this page as one input among many when evaluating and as Securities Intermediary: cross-check against the CFPB Consumer Complaint Database directly, review your own contract terms, and consult a licensed professional for financial, legal, or regulatory advice. This page is informational only.
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Disclaimer: This data is from CFPB public records. PlainComplaint does not provide financial advice. A complaint does not indicate that a company has violated any law or regulation. Complaint volumes are influenced by company size, customer base, and market presence. Use this data as one of many inputs when evaluating a company.
Frequently Asked Questions
How many CFPB complaints does and as Securities Intermediary have?
and as Securities Intermediary has received 1 consumer complaints filed with the Consumer Financial Protection Bureau.
Does and as Securities Intermediary respond to complaints on time?
and as Securities Intermediary has a 0% timely response rate to CFPB complaints.
What is the most common complaint about and as Securities Intermediary?
The most common issue reported against and as Securities Intermediary is "thus making me eligible to receive benefits in exchange. The reason my application can be considered a promissory note is because it is a signed document that is transferable to third parties and also promises a sum of payment" in the "seeking American Express to fulfill its fiduciary duties in a barter agreement. I have provided you with a promissory note via my original credit application" product category.
Read our methodology — how this data is sourced, computed, and verified.
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