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Complaint Against Broker

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Can I File a Complaint Against My Broker in Addition to Pursuing Arbitration?

If you feel that other investors could also be at risk of losing money because of the broker’s misconduct, you may want to file a complaint with the appropriate authority, such as the state securities commission, Securities and Exchange Commission or one of the self-regulatory organizations.

WHERE TO FILE A COMPLAINT AGAINST YOUR BROKER

The primary regulatory organization is the Financial Industry Regulatory Authority (FINRA), which supervises about 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. A complaint can be made through FINRA’s investor complaint center by completing the online form located on the website, mailing the complaint or faxing it.

WHAT WILL FINRA DO WITH MY CLAIM?

While these regulatory agencies may investigate your claim, they will not recover your financial losses resulting from any alleged investment fraud. In order for an investor to recover losses they suffered as the result of investment misconduct by their stockbroker, financial advisor or brokerage firm, the investor must pursue legal action through either arbitration or court (depending on the circumstances).

Contact an experienced FINRA arbitration attorney to help you through this process and make complicated matters seem simple.

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614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
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900 Camp Street 
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New Orleans, LA 70130
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310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
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216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
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The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
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