FINRA staff is working remotely in light of COVID-19. We strongly encourage investors who are filing complaints to do so electronically.
Investor Complaint Center
FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.
Securities Helpline for Seniors®
Call toll-free with questions or concerns about brokerage accounts and investments.
FINRA Risk Monitoring Program
A point of contact to address questions about rules, filing deadlines and compliance resources.
Small Firm Helpline
Reach out for help with identifying the appropriate FINRA contact for assistance, navigating FINRA’s systems or finding online resources, or for general questions.
File a Regulatory Tip
FINRA encourages individuals with information about potentially fraudulent, illegal or unethical activity to submit a regulatory tip.
Office of the Ombudsman
A confidential forum for individuals and firms to voice their concerns about FINRA activities or staff.
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