Investor Complaints

If you have a problem with your investments, investment account, or a financial professional (examples are listed below), use our investor complaint form to provide us your information.

• Order handling, trade execution, confirmations
• Delivery of funds or securities
• Dividends
• Fees, commissions or mark-ups
• Inaccurate or misleading disclosures by financial professionals
• Margin
• Suitability
• Opening, transferring or closing an account or redeeming or transferring mutual funds
• 401(k), pension plans or retirement accounts
• Other problems with investments or investment accounts

Learn more about investor complaints and other ways to resolve a securities-related dispute.

Investor Questions

To ask a question or request information, use the investor question form.