Report Wrongdoing
File a Complaint with FINRA
Submit a Tip, Complaint or Referral with SEC
Submit a Tip, Complaint or Referral with SEC
The Financial Industry Regulatory Authority (FINRA) regulates broker-dealers that operate in the over-the-counter (OTC) market. 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.
Submit a Tip, Complaint or Referral with SEC
Submit a Tip, Complaint or Referral with SEC
Submit a Tip, Complaint or Referral with SEC
SEC strongly encourages the public to submit any tips, complaints, and referrals using the SEC's online TCR system and complaint form. Learn how to submit tips, complaints and referrals, including concerns about suspected Ponzi schemes, insider trading, market manipulation, fraudulent transactions, and types of wrongdoing.