Investor Complaint Center
FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.
FINRA Risk Monitoring Program
A point of contact to address questions about rules, filing deadlines and compliance resources.
Small Firm Helpline
Reach out with questions concerning rules, effective dates, deadlines and other regulatory issues.
File a Regulatory Tip
FINRA encourages individuals with information about potentially fraudulent, illegal or unethical activity to submit a regulatory tip.
Office of the Ombudsman
A confidential forum for individuals and firms to voice their concerns about FINRA activities or staff.
Individuals and organizations interested in using FINRA-copyrighted material must obtain permission from FINRA.