Report a Problem

If you believe you have been defrauded or treated unfairly by a securities professional or firm, please file a complaint. In addition, if you suspect that someone you know has been taken in by an investment scam, be sure to give us that tip.

Learn more about what conduct is prohibited in the securities industry.

Where to Report a Problem

To FINRA

If you believe you’ve been defrauded or treated unfairly by a broker or brokerage firm, file a complaint with FINRA:

File an Investor Complaint

If you believe you have evidence of, or information about, potentially illegal or unethical activity by a broker or brokerage firm, contact FINRA’s Office of the Whistleblower or send us a regulatory tip:

FINRA Office of the Whistleblower
whistleblower@finra.org
1-866-96-FINRA (1-866-963-4672)

Send a Tip

FINRA Regulatory Tips
9509 Key West Avenue
Rockville, MD 20850
Fax: (866) 397-3290

To the Securities and Exchange Commission

To report fraud or wrongdoing in the securities industry, contact the Securities and Exchange Commission (SEC):

SEC Office of the Whistleblower
Tel: (202) 551-4790

SEC Complaint Center
100 F Street, NE
Washington, DC 20549-5631
Fax: (202) 772-9235
 

To Your State Securities Regulator

If you believe you have been defrauded or treated unfairly by a broker or investment adviser, file a complaint with your state securities regulator. To find your regulator, click on the state where you live in the map below, visit the North American Securities Administrators Association or call (202) 737-0900.

State Securities Regulators Map

To Your State Insurance Commission

If you believe you have been defrauded or treated unfairly by an insurance professional or firm, report your experience directly to the National Association of Insurance Commissioners' Online Fraud Reporting System

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