File a Complaint (2024)

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Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.

Before you file a complaint with FINRA, contact your firm.

Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm.

If you are unsure of what type of complaint you have and choose to file it with FINRA, we will evaluate the complaint and may pass it on to the appropriate regulator if it is not within FINRA's jurisdiction. Forwarding your complaint to other regulators may delay the process of investigating your complaint.

FILE A COMPLAINT

File a Complaint (2024)

FAQs

File a Complaint? ›

Put it in writing

It is helpful if you can put your complaint in writing. If you don't feel comfortable doing that, you could ask a friend, carer, family member or an organisation like Citizens Advice to help you. Write 'complaint' at the top of your letter or email, so there can be no doubt.

How do you make a formal complaint? ›

Put it in writing

It is helpful if you can put your complaint in writing. If you don't feel comfortable doing that, you could ask a friend, carer, family member or an organisation like Citizens Advice to help you. Write 'complaint' at the top of your letter or email, so there can be no doubt.

How do I file a complaint with the state of New Jersey? ›

New Jersey Consumers (Residents) who need assistance or would like to file a complaint against Debt Collection Practices, Stores or Businesses, or another New Jersey State Governmental Agency, should access the New Jersey Consumer Affairs website at http://www.state.nj.us/lps/ca/ocp/ocpform.htm or call (973) 504-6200.

What is the best way to make a complaint? ›

How to complain effectively – and get results
  1. Put it in writing.
  2. Be reasonable.
  3. Know your consumer law.
  4. Go to the right place.
  5. Give a deadline.
  6. Say what you want.
  7. Take the matter further.
Mar 21, 2022

Does filing an FCC complaint do anything? ›

We do not resolve individual complaints on these issues and you will not receive status emails about your complaint. However, the collective data we receive helps us keep a pulse on what consumers are experiencing, may lead to investigations and serves as a deterrent to the companies we regulate.

Where do I write a complaint? ›

The complaint letter should be addressed to the customer service manager or another appropriate contact, such as the owner of the company. It should be typed or handwritten in a clear, concise, and easy-to-read font.

How much does it cost to file a complaint in NJ? ›

Superior Court, Law Division, Civil Part
Fee SubjectFeeAuthority
Complaint$250.00N.J.S.A. 22A:2-6
Filing of First Paper by Anyone Other than the Plaintiff$175.00N.J.S.A. 22A:2-6
Motion$50.00N.J.S.A. 22A:2-6
Complaint in Multicounty Litigation$250.00N.J.S.A. 22A:2-6
8 more rows

How to serve a complaint in NJ? ›

In New Jersey, the primary way to serve the summons and complaint in a civil action on a competent individual is by personal delivery of the papers to the individual. This may be by a sheriffs officer or a private process server.

How do you process a complaint? ›

8 steps for handling customer complaints
  1. Listen to the customer. If a customer has complained, it means that they want their unique problem to be heard. ...
  2. Show empathy. ...
  3. Apologize. ...
  4. Ask thorough questions. ...
  5. Loop in necessary parties. ...
  6. Find a swift solution. ...
  7. Follow up. ...
  8. Create a record.

How do I complain successfully? ›

How do you complain effectively?
  1. Be clear on what your complaint is. ...
  2. Know what result you're hoping to achieve. ...
  3. Don't lose your temper. ...
  4. Never make it personal. ...
  5. Be genuine and sincere. ...
  6. Use social media. ...
  7. Ask to speak to someone new. ...
  8. Write to head office.

Is complaining a bad thing? ›

Complaining can often stem from bad moods or personality traits, but it can also be a tool that helps people bond and regulate their emotions. Too much complaining can worsen your mood, make you feel helpless, and lead to a negative outlook on life.

Who should you first contact with a consumer complaint? ›

California Attorney General's Office. File a complaint online at http://oag.ca.gov/. The Better Business Bureau. Go to www.bbb.org, or consult your phone directory for a local office.

What are three of the six types of complaints you can make to the FCC? ›

If you want to file a consumer complaint about the issue you are experiencing, go to consumercomplaints.fcc.gov and choose from the six category buttons under File a Complaint (TV, phone, Internet, radio, emergency communications, access for people with disabilities).

What types of violations does the FCC handle? ›

Technical Rule Violations
  • Antenna Structure Registration, Lighting and Marking Requirements.
  • Unlicensed Operations.
  • Wireless 911 and E911 Violations.
  • Emergency Alert System (EAS) Violations.
  • Cable Signal Leakage Enforcement.
  • Interference Complaints.

What is the formal way of complaining? ›

Start politely

Starting a complaint with “I'm sorry to bother you” or “Excuse me, I wonder if you can help me” puts the listener at ease. People are easier to deal with if they feel comfortable so even if you are angry, try to stay calm and start the conversation with one of these phrases.

What defines a formal complaint? ›

A formal complaint is a complaint made by an employee, representative of employees, or relative of an employee who has provided their written signature for the complaint.

How do you write a formal complaint about someone? ›

10C. 2: More complaint and letter writing tips
  1. your name and contact details;
  2. what happened and when it happened;
  3. details of when events took place and who was involved (including details of any witnesses);
  4. whether you have already taken action to try to resolve your complaint;
  5. what kind of outcome you want; and.

What is official formal complaint? ›

You need to put your complaint in writing and clearly set out all the details. In your letter or email make sure you include: background information identifying the tender, the process and the relevant dates. a brief summary of the problem or concerns you have.

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