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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 Investor Complaint Center to report any fraudulent or suspicious activities by brokers.
FINRA Securities Helpline for Seniors
A toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments.
Dispute Resolution
FINRA operates the largest dispute resolution forum in the securities industry. Learn how both arbitration and mediation work.
Payments for Harmed Investors
FINRA, the SEC and other regulators are sometimes able to recover money or securities for harmed investors through a process known as restitution.
Your Rights Under SIPC Protection
The Securities Investor Protection Corporation (SIPC) provides limited coverage to investors on their brokerage accounts if their investment firm becomes insolvent.
The International Financial Securities Regulatory Commission was established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.
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