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Investor Complaint Center |

Investor Complaint Center

( Centro de Reclamo para el inversionista )

Before you proceed: Contact the firm. Immediately question your broker about any transaction that you do not understand or did not authorize with your broker.  If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm.   Read our Investor Complaint Brochure .  It contains information on what we will do with your complaint, your legal rights and options you have for resolving your complaint.   Review our  Questions to Ask .  There can be no assurances that any action taken by FINRA will result in a payment or return of funds or securities to you even where formal disciplinary actions are taken and sanctions imposed. Relying exclusively on the outcome of FINRA's investigation may close other avenues of redress if you wait too long to proceed. You may wish to review information on FINRA's Arbitration & Mediation Programs . Problems addressed by FINRA: Buy or sell orders Brokerage firm or broker Insider trading Manipulation of security price or volume Account transfer 401(k), pension or retirement plan Investment adviser/financial planner Other - Complaints other than those noted in the sections below ( See Definitions Below ) FINRA Investor Complaint Center 9509 Key West Avenue Rockville, MD 20850-3329 Phone: (240) 386-HELP (4357) Fax: (866) 397-3290 Problems addressed by the SEC: SEC filing or report Public companie fixfmfpq. complaint definition in laws Transfer agent File a complaint with the SEC . Securities and Exchange Commission Complaint Center 100 F Street, NE Washington, DC 20549-5990 Problems addressed by the Commodity Futures Trading Commission or the National Futures Association: Commodities Futures

File a complaint with the CFTC . File a complaint with the NFA .

How to file a complaint:

You have two options when filing a complaint. You can use our online complaint form or you can print out a complaint form and mail or fax it to us.

If you have a question about your investments or our rules, please contact us .

You also can forward spam or junk email recommending that you invest in a stock or other investment.

File Online Complaint Print Complaint Form Problems addressed by FINRA: Problems with Buy or Sell Orders: Sometimes, investors have problems with buy or sell orders such as slow execution, execution at an unanticipated price or failure to execute. Other problems with buy or sell orders can also occur. Problems with your Brokerage Firm or Broker: For examples of conduct that is prohibited in the securities industry, visit our Prohibited Conduct Web page. What is Insider Trading? Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security. Problems with Manipulation of Security Price or Volume: If you believe that the price or volume of a security is being manipulated, we'd like to know about it. Problems with Account Transfer: At times, investors transfer their securities accounts between brokerage firms. While the process generally runs smoothly for the vast majority of the thousands of accounts transferred each year, there are times when delays occur and investors have problems. For more information, please read Understanding the Brokerage Account Transfer Process . Who Handles 401(k), Pension or Retirement Plan Problems? If your problem involves a 401(k), pension or retirement plan, be sure to contact the U.S. Department of Labor Employee Benefits Security Administration (EBSA) . EBSA enforces the rules governing the conduct of plan managers, investment of plan money, reporting and disclosure of plan information, enforcement of the fiduciary provisions of the law, and workers' benefit rights. If your problem involves a brokerage firm serving as the administrator of your 401(k) or other retirement plan—or if it involves an individual broker who provided advice or handled transactions in your retirement plan—then you should file your complaint with FINRA. Who Handles Problems with Investment Advisers and Financial Planners? Not all investment advisers and financial planners are FINRA-licensed brokers or brokerage firms. Your complaint may need to be directed to other organizations depending on who has jurisdiction over the investment adviser or financial planner. Other Types of Complaints: If you are unsure of what type of complaint you have and choose to file it with FINRA, we will evaluate the complaint and may pass it on to the appropriate regulator if it is not within FINRA's jurisdiction. Forwarding your complaint to other regulators may delay the process of investigating your complaint. You may wish to contact a FINRA District Office to discuss your complaint prior to completing this form to better understand which regulatory organization should address your complaint.

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CSLB's complaint process is designed to protect the public in matters pertaining to construction and to assist in the resolution of construction-related complaints. CSLB addresses violations of California Contractors License Law, whether the contractor is licensed or unlicensed , for up to four years from the date of the act.

How the Complaint Process Works

This section is an overview about how CSLB addresses complaints and the procedures that are followed.

Licensed and Unlicensed Project Complaints Use this form if you are a homeowner, other contractor, subcontractor, or employee who wants to file a complaint against a contractor. Public agencies also may file complaints using this form. Complaint form ( PDF | ORDER | ONLINE )

Unlicensed and Licensed Contractor Projects - Active Use this form to file a complaint for ACTIVE projects being undertaken by both unlicensed and licensed contractors. Please submit this form only if you know the job site address . If you are party to a contract on an active project, please use the Complaint form above. Lead Referral form ( PDF )

Advertising Complaints Use this form to report an unlicensed contractor who is advertising illegally. Advertising Complaint form ( PDF )

Building Permit Complaints This form is to be used to report any contractor who fails to pull a project building permit for construction activity. Building Permit Violation Referral form ( PDF )

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The Federal Communications Commission gives consumers the opportunity to file informal complaints about problems with the communications services that the FCC regulates. Complaints can be filed through the FCC's Consumer Complaint Center , which educates consumers about communications issues and guides them through the complaint process.

Other options for filing a complaint with the FCC include:

Phone: 1-888-CALL-FCC (1-888-225-5322); TTY: 1-888-TELL-FCC (1-888-835-5322); ASL: 1-844-432-2275 Mail (please include your name, address, contact information and as much detail about your complaint as possible): Federal Communications Commission Consumer and Governmental Affairs Bureau Consumer Inquiries and Complaints Division 445 12th Street, S.W. Washington, DC 20554

The informal complaint process requires no complicated legal procedures, has no filing charge, and does not require the complaining party to appear before the FCC.

Complaints about telecommunications billing or service issuses are processed by the FCC's Consumer Inquiries and Complaints Division and will be served on your provider, which has 30 days to respond directly to you, copying the FCC on its response.

Complaints may be shared among FCC bureaus and offices for further review and possible investigation. By filing a consumer complaint with the FCC, you contribute to federal enforcement and consumer protection efforts on a national scale and help us identify trends and track the issues that matter most.

The FCC does not resolve all individual complaints.

Complaints about issues not covered by the FCC

While the FCC can help consumers with many types of complaints, there are many issues – such as consumer fraud or cable billing – which are be best addressed by local, state or federal agencies or authorities that have jurisdiction over these issues.

Filing complaints with the FTC

For charges on your telephone bill for non-telephone services, file your complaint with the Federal Trade Commission online at , call the FTC toll-free at 1-877-382-4357 (voice) or 1-866-653-4261 (TTY), or write to:

Federal Trade Commission 600 Pennsylvania Ave., NW Washington, DC 20580

Complaints about local telephone or cable service

If you have a problem with your local telephone service, including directory assistance, or telephone service within your state, contact your state public service commission. Contact information for your state public service commission can be found at or in the blue pages or government section of your local telephone directory.

For problems with rates for basic cable television service or cable television service quality that you can't resolve directly with the company, contact your Local Franchising Authority (LFA). Contact information for your LFA can be found on your cable service bill or in your local telephone directory.

Also, your state or local Better Business Bureau, consumer protection agency or state Attorney General's Office may be able to help. Again, check for listings in your local telephone directory.

Print Out

Filing an Informal Complaint Guide (pdf)


File a Complaint with the FCC


Visit our Consumer Complaint Center at consumercomplaints. to file a complaint or tell us your story.

Request Accessible Format

To request this article in an accessible format - braille, large print, Word or text document or audio - email fcc504@ , or write the address or call the phone number at the bottom of this page.

Consumer Help Center

Learn about consumer issues - visit the FCC's Consumer Help Center at www./consumers .


Date Last Updated/Reviewed:  Tuesday, May 30, 2017 Bureau/Office:  Consumer and Governmental Affairs Tags:  Consumer Help Center - Consumers Federal Communications Commission 445 12th Street SW, Washington, DC 20554 Phone: 1-888-225-5322 TTY: 1-888-835-5322 ASL Videophone: 1-844-432-2275 Fax: 1-866-418-0232 Contact Us Twitter Facebook Youtube Flickr Instagram Website Policies & Notices Privacy Policy FOIA No Fear Act Data FCC Digital Strategy Open Government Directive Plain Writing Act RSS Feeds & Email Updates Disability Rights CATEGORIES About the FCC Proceedings & Actions Licensing & Databases Reports & Research News & Events For Consumers BUREAUS & OFFICES Consumer Enforcement Inspector General International Media Public Safety Wireless Wireline Offices Federal Communications Commission