The SEC’s Office of Investor Education and Advocacy (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants.
Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional, including problems involving:
- Order handling, trade execution, or confirmations;
- Delivery of funds or securities;
- Fees, commissions, or mark-ups;
- Inaccurate or misleading disclosures by financial professionals;
- Suitability, or excessive trading or other account abuses; and
- Opening, transferring, or closing an account, or redeeming or transferring mutual funds.
Investors can provide the SEC with information about fraud or wrongdoing involving potential violations of the federal securities laws by using the Tips, Complaints and Referrals Portal.