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:
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)
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 20549-0213
Fax: (202) 772-9295
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.
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.