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
Use FINRA's online form to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.
FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is accomplished through two non-judicial proceedings: arbitration and mediation.
Securities Helpline for Seniors
Are you a senior investor with questions about your brokerage account statement or an investment in a brokerage account? Are you concerned that your account may have been mishandled by a broker? To help you with these and other investment-related questions, FINRA provides the Securities Helpline for Seniors®.
Other Avenues for Recovery of Investment Losses
There are other avenues for recovery of investment loses. Our FINRA Enforcement teams are authorized to take actions that may include financial restitution for investors. The Securities Investor Protection Corporation (SIPC) provides limited protections to investors. Additionally, the SEC maintains a list of cases involving Fair Funds and Disgorgement Plans. Investors also may be eligible to participate in Class Action Lawsuits.