Nothing Special   »   [go: up one dir, main page]

Investor Contacts

File a Complaint Against a Broker or Firm

Investor complaints may be filed by investors or persons acting on behalf of investors who feel they have been subjected to improper business practices involving their broker or brokerage firm. Investors may file complaints via our online complaint form in the FINRA Investor Complaint Center or by printing out a complaint form (disponible en español) and mailing or faxing it to us.

If you suspect that someone you know has been taken in by an investment scam, be sure to give us that tip.

FINRA BrokerCheck Hotline

For assistance with checking the background of a broker or brokerage firm, or an investment adviser or investment representative, call the FINRA BrokerCheck Hotline at (800) 289-9999. You may also use the online version of FINRA BrokerCheck.

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. Learn more.

Call 844-57-HELPS (844-574-3577)
Monday – Friday
9 a.m. – 5 p.m. ET

FINRA Support Center

Main FINRA Phone Number: (301) 590-6500

FINRA Office Locations

View a listing of FINRA office locations.

FINRA Investor Publications

FINRA produces a number of publications—including newsletters, brochures, manuals, and pamphlets—targeted to members, investors, and the general public. Download PDFs or order printed copies of our materials today.

Have a Question?

Investors can submit questions to FINRA Investor Education. Firms and registered representatives should contact their FINRA Risk Monitoring Analyst or the FINRA Support Center: (301) 590-6500.

Office of the Ombuds

The Ombuds’ Office provides a neutral and confidential forum for member firms and their employees, public investors and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff.

Problem with the Website?

If you encounter a problem with one of FINRA's websites, please contact us.