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Tips, Questions, and Complaints

May 12, 2017

Learn More About Reporting Complaints

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How to submit a tip, complaint or referral

Learn how to submit tips, complaints and referrals, including concerns about suspected Ponzi schemes, insider trading, market manipulation, fraudulent transactions, and types of wrongdoing.

Preparing a Quality TCR
Report Suspected Securities Fraud

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How to report complaints about investments or investment professionals

Learn about the types of issues we deal with and how we handle investor complaints.

Report a Problem with Your Investments
Ask an Investment-Related Question

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How We Protect Whistleblowers and Maintain Confidentiality

Find answers to frequently asked questions about whistleblowing such as determining what information qualifies for reporting.

– Whistleblower awards and protections
– FAQs about whistleblowing such as determining what information qualifies for reporting
– Report Securities Misconduct as a Whistleblower

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How We Handle Your Concerns about the SEC, SROs, and Compliance with Securities Laws

Learn how the Ombudsman assists investors, facilitates communication, maintains confidentiality, and identifies options to help resolve concerns about the SEC, Self-Regulatory Organizations (SROs), and compliance with the securities laws.

– Send Questions or Report Concerns

Discrimination Concerns Involving Private Sector Employers

The U.S. Equal Employment Opportunity Commission has jurisdiction over allegations of employment discrimination involving certain private sector employers. If you believe that you have been discriminated against, you may wish to contact the EEOC, or your state or local fair employment or civil rights commission, to file a charge. If you are an independent contractor to a private company (e.g., asset manager), please check for jurisdiction of the EEOC.

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