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Tips, Questions, and Complaints

May 12, 2017


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.

How We Protect Whistleblowers and Maintain Confidentiality

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

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.

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