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 Coordinator Program
A single 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
Industry professionals with knowledge of unfair practices, fraud, or abusive conduct involving brokers or brokerage firms should file a tip.
Whistleblower Tip Line
FINRA expedites the review of high-risk tips and ensures a rapid response for tips believed to have merit.
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.