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 for help with identifying the appropriate FINRA contact for assistance, navigating FINRA’s systems or finding online resources, or for general questions.
File a Regulatory Tip
FINRA encourages individuals with information about potentially fraudulent, illegal or unethical activity to submit a regulatory tip.
Office of the Ombuds
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.