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Investor Complaints and Questions

Nov. 21, 2023

FY 2023 Annual Complaint Data

During FY 2023, the SEC's Office of Investor Education and Advocacy closed 28,853 files relating to complaints, questions, and other contacts received from investors.

TEN MOST COMMON COMPLAINTS

Rank Complaint Type FY 2023
1 Crypto-related 5357
2 Advance fee fraud 2063
3 Account administration and processing (matters relating to daily activity in an account) 1841
4 Account administration and processing (maintenance, including account closing and redemption issues) 1827
5 Manipulation of securities/prices 1306
6 Trading suspensions/trading halts 845
7 Transfer of account 719
8 Short selling 672
9 Delivery of funds/proceeds 626
10 Theft/forgery 599
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