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File a Complaint

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. 

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.

  • How to File a Complaint

    Use FINRA's Investor Complaint Center to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.
     

  • Questions to Ask

    Ask these questions before you file a complaint.
     

  • Problems to Watch Out For

    Learn to spot and avoid key problems reported by investors.
     

  • Arbitration and Mediation

    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.