Have a Problem?
Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a sales person, brokerage firm or other industry professional has treated you unfairly, contact the firm to see if you can resolve the issue. If you are still not satisfied with the firm's response, you can file a complaint with FINRA.
We investigate complaints against brokerage firms and their employees—and can take disciplinary actions against brokers and firms who violate the rules. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.
Use these resources to help you resolve potential problems.
File a Complaint
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. Find out about the complaint process. Learn more.
FINRA Securities Helpline for Seniors
Are you a senior investor with questions about your brokerage account statement or an investment in a brokerage account? Call our toll-free number to get assistance. Learn more.
FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers. Learn more.
The Securities Investor Protection Corporation (SIPC) provides limited coverage to investors on their brokerage accounts if their brokerage firm becomes insolvent. SIPC also, in many cases, protects customers from unauthorized trading in, or theft from, their securities accounts. Learn more.
Avenues for Recovery of Investment Losses
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. Learn more.