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1. www.sec.gov › submit-tip-or-complaintSubmit a Tip or Complaint - SEC.gov

   www.sec.gov › submit-tip-or-complaint

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   My Tip or Complaint Relates To: Possible securities law violations like fraud, Ponzi schemes, insider trading, market manipulation, or other wrongdoing A problem I'm having with my investment account or financial professional

2. help.sec.gov › s › investor-complaintInvestor Complaint Form - SEC

   help.sec.gov › s › investor-complaint

   Please do not include Social Security, driver's license, or passport numbers in your submission. Please read Investor Bulletin: Investor Complaints for information on what we will do with your complaint and other options for resolving your complaint.

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4. www.sec.gov › complaint › questionSEC.gov | Investor Complaints

   www.sec.gov › complaint › question

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   • Order handling, trade execution, confirmations.
   • Delivery of funds or securities.
   • Dividends.
   • Fees, commissions or mark-ups.

5. secure.sec-gov.net › complaintMake a Complaint - SEC - Securities and Exchange Commission

   secure.sec-gov.net › complaint

   Please include as much information as you can, including the type of product involved, the dates the problem occurred, the name, address and telephone number (if you know these) of all individuals and firms involved and a description of the problem (please attach a separate page if you need more space than provided)

6. help.sec.gov › s › questions-and-feedbackwebforms - SEC

   help.sec.gov › s › questions-and-feedback

   If you have a complaint about your broker or a securities transaction, you will get better results by using our online Complaint Center. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security.

7. help.sec.gov › 1702061741000 › OIEA_Complaint_FormU.S. SECURITIES AND EXCHANGE COMMISSION

   help.sec.gov › 1702061741000 › OIEA_Complaint_Form

   complaint and will note the file number assigned to . your complaint. You should reference this file . number when contacting OIEA. To provide the SEC with information about fraud or . wrongdoing. involving potential violations of the federal securities laws, use the Tips, Complaints and Referrals Portal.

8. People also ask

   How do I file a complaint with the SEC?

   • In the meantime, please visit our website, Investor.gov, for tools and resources on investing. You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security.

   OIEA Complaint Form - SEC

   help.sec.gov/resource/1702061741000/OIEA_Complaint_Form

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   What is the SEC investor complaint form?

   • The SEC provides an opportunity for members of the public at large to submit broker complaints electronically using the SEC’s Investor Complaint Form. The Investor Complaint Form may appear simple to complete. However, there is more to it than you might think.

   How to File a SEC Complaint or Report Fraud Against a Broker

   www.secatty.com/legal-blog/filing-complaint-sec-broker/

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   Does the SEC make complaint information available to other government agencies?

   • The SEC often makes its files, including complaint information, available to other government agencies. Complaint information submitted to OIEA is subject to Privacy Act System of Records Notice SEC-65 (SORN SEC 65, Investor Response Information System), which is published and updated regularly.

   OIEA Complaint Form - SEC

   help.sec.gov/resource/1702061741000/OIEA_Complaint_Form

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   How do I provide the SEC with information about fraud or wrongdoing?

   • To provide the SEC with information about fraud or wrongdoing involving potential violations of the federal securities laws, use the Tips, Complaints and Referrals Portal. OIEA helps ensure that individuals and entities regulated by the SEC respond to investor complaints when appropriate.

   OIEA Complaint Form - SEC

   help.sec.gov/resource/1702061741000/OIEA_Complaint_Form

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   How do I contact the SEC?

   • To ask a question or report a problem concerning your investments, your investment account or a financial professional, contact us online or call the SEC’s toll-free investor assistance line at (800) 732-0330 (if outside of the U.S., call 1-202-551-6551). Visit Investor.gov, the SEC’s website for individual investors. email or RSS feed.

   OIEA Complaint Form - SEC

   help.sec.gov/resource/1702061741000/OIEA_Complaint_Form

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   Can I file a complaint with the SEC about a broker?

   • Failing to file required reports with the SEC. Of course, not all actions by a broker constitute fraud for which you can file a complaint with the SEC. Remember, the stock market is inherently volatile, so the fact that you lost money does not necessarily mean your broker took any wrongful actions.

   How to File a SEC Complaint or Report Fraud Against a Broker

   www.secatty.com/legal-blog/filing-complaint-sec-broker/

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9. www.investor.gov › introduction-investing › generalInvestor Bulletin: Investor Complaints | Investor.gov

   www.investor.gov › introduction-investing › general

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   Apr 19, 2017 · The copies may be emailed to help@sec.gov, faxed to (202) 772-9295, or mailed to U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street, N.E., Washington, DC 20549-0213. OIEA will inform you when it receives your complaint and will note the file number assigned to your complaint.