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Questions, Tips and 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

Investor Questions

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

Enforcement Tips and Complaints

If you would like to provide us information about fraud or wrongdoing involving potential violations of the securities laws, which may include the conduct listed below, use the Tips, Complaints and Referrals Portal. See also further information about submitting a tip or complaint.

Important Notes

If you submit your information online through the SEC's Tips, Complaints and Referrals Portal, and would like to (1) be eligible to apply for a whistleblower award and/or (2) receive additional confidentiality protections (even if you do not wish to be considered for an award), you must answer "yes" to the question "Are you submitting this tip, complaint or referral pursuant to the SEC's whistleblower program?" on the "About You" page of the online questionnaire. You must also complete the whistleblower declaration at the end of the questionnaire.

The SEC treats all tips, complaints and referrals as confidential and nonpublic, and does not disclose such information to third parties, except in limited circumstances authorized by statute, rule, or other provisions of law. As a matter of practice, the whistleblower program provides additional confidentiality protections, consistent with the limitations on disclosure of information that could reasonably be expected to reveal the identity of a whistleblower set forth in Section 21F(h)(2) of the Securities Exchange Act of 1934 [15 U.S.C. § 78u-6(h)(2)] and Rule 21F-7 of the SEC's Whistleblower Rules [17 C.F.R. § 240.21F-7]. You should answer "yes" to the whistleblower program question if you wish to avail yourself of these additional confidentiality protections, even if you are not interested in being eligible for a whistleblower award.

Please be aware that these additional confidentiality protections may in some cases limit or delay the SEC's ability to disclose your identity to certain other agencies, regulators or other third parties. For that reason, we suggest you check "no" if you are submitting your information in order to seek our assistance to resolve an issue with your broker or other financial professional, such as the processing of a trade or a question about your statement. We likely will need to share your information in order to assist you. In addition, if you do not wish to be considered for an award and you intend for us to coordinate with another government agency or regulator, checking "no" may help facilitate this process.

Please note that if you choose to submit your information anonymously under the whistleblower program, i.e., without providing your identity or contact information, and you wish to be eligible for a whistleblower award, you must be represented by, and provide contact information for, an attorney in connection with your submission.

Whistleblower

Learn about the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act