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File a Tip

FINRA encourages individuals with information about potentially fraudulent, illegal or unethical activity to submit a regulatory tip.  If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately. Often, violations of our rules and the federal securities regulations come to light through the receipt and investigation of regulatory tips from members of the industry and other industry professionals.

FINRA may find it useful to contact you for the purposes of verifying the information provided and soliciting additional information. While anonymous regulatory tips will be accepted and reviewed, their value may be diminished if FINRA is unable to conduct this additional inquiry.

It is requested that you provide a brief summary of the significant types of abusive conduct and/or rule violations that:

  • You believe to have taken place;
  • You believe may now be occurring, and/or
  • You believe may be about to occur.

All regulatory tip information received will be treated in confidence to the fullest extent possible. FINRA, however, cannot guarantee that during the course of a related investigation or possible prosecution of the matter that the identity or documents of the source of a regulatory tip will not become known.

File a Regulatory Tip