Broker Complaints

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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.

Investor Complaint Center

FINRA staff is working remotely in light of the COVID-19 situation so we strongly encourage investors who are filing complaints to do so electronically.

Before you proceed

  1. Contact the firm. Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm.
  2. Read our Investor Complaint Brochure. It contains information on what we will do with your complaint, your legal rights and options you have for resolving your complaint.
  3. Review our Questions to Ask. There can be no assurances that any action taken by FINRA will result in a payment or return of funds or securities to you even where formal disciplinary actions are taken and sanctions imposed. Relying exclusively on the outcome of FINRA’s investigation may close other avenues of redress if you wait too long to proceed. You may wish to review information on FINRA’s Arbitration & Mediation Programs.
Problems Addressed
by FINRA
Problems Addressed
by the SEC
Problems addressed by
the Commodity Futures
Trading Commission or
the National Futures
Association
  • Buy or sell orders
  • Brokerage firm or broker
  • Insider trading
  • Manipulation of security price
    or volume
  • Account transfer
  • 401(k), pension or retirement
    plan
  • Investment adviser/financial
    planner
  • Other: Complaints other
    than those noted in the
    sections below

See Definitions Below

Contact Us:
FINRA Investor Complaint Center
9509 Key West Avenue
Rockville, MD 20850-3329
Phone: (240) 386-HELP (4357)
Fax: (866) 397-3290

Contact the SEC:

Securities and Exchange Commission
Complaint Center
100 F Street, NE
Washington, DC 20549-5990

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  • Commodities
  • Futures

How to File a Complaint with FINRA

  1. You can use our online complaint form.
  2. You can print out a complaint form and mail or fax it to us.

If you have a question about your investments or our rules, please contact us. You also can forward spam or junk email recommending that you invest in a stock or other investment.

FINRA staff is working remotely in light of the COVID-19 situation so we strongly encourage investors who are filing complaints to do so electronically.

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