Investor Complaint Center

Before you proceed:

 

Please read our Investor Complaint Program brochure for information on what we will do with your complaint, your legal rights, and options you have for resolving your complaint. You should also review these Questions to Ask Before You File a Complaint.

 

There can be no assurances that any action taken by FINRA will result in a payment or return of funds or securities to you even where formal disciplinary actions are taken and sanctions imposed. Relying exclusively on the outcome of FINRA's investigation may close other avenues of redress if you wait too long to proceed. You may wish to review information on FINRA's Arbitration & Mediation Programs.

 

How to file a complaint:

 

You have two options when filing a complaint. You can use our online complaint form or you can print out a complaint form and mail or fax it to us.

 

If you have a question about your investments or our rules, please go to the Frequently Asked Questions area of our Web site.

 

You also can forward spam or junk email recommending that you invest in a stock or other investment.

 

 

   

 

 

 

 

 

 

• How to Avoid Problems With Your Broker
• Common Investor Problems and How to Avoid Them
• Prohibited Conduct
• Arbitration & Mediation