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. We strongly encourage investors to file their complaint via the online FINRA Investor Complaint Center.   Filing online is the quickest way for us to receive your complaint. Should you prefer to file your complaint using a handwritten form, the Investor Complaint Brochure and form are available by ordering this item.

You may also download a PDF of this publication or file a complaint online.