Welcome to FinancialAdvisorComplaints.com, the go-to online platform for detailed and impartial insights into financial advisors and firms. We’re committed to fostering transparency, accountability, and educating investors.

Our mission is to simplify the complex world of finance for you. We provide clear, unbiased news and analysis to help you make well-informed investment decisions. Have a story or experience to share? Submit your news story here.

(AD) Lost money because of bad financial advice or outright fraud? You may get it back by filing a complaint. You should consider an investment fraud attorneyHaselkorn & Thibaut has 50+ years helping investors recover losses.Call Haselkorn & Thibaut at 1-888-784-3315 or InvestmentFraudLawyers.com to schedule a free consultation. 

How to File a Complaint Against Your Financial Advisor

The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and brokers and provides a venue for investors to file complaints against them.

If you believe your financial advisor or brokerage firm has engaged in improper conduct, you can file a complaint with FINRA to have the matter investigated.

Although not required, we recommend that investors talk to an investment fraud lawyer before filing a complaint. Most law firms offer a free consultation.

Steps to File a FINRA Complaint

Follow these steps:

  • Gather details about your case – dates, actions taken, statements made, documents, losses incurred, etc.
  • Determine violation types – misrepresentation, unauthorized trading, theft, unsuitable recommendations etc.
  • Submit complaint data on the FINRA complaint form. You’ll need personal info, firm/broker info, and complaint details.
  • Attach supporting documents – account statements, correspondence, agreements etc. These bolster your case.
  • FINRA reviews the complaint and contacts the firm for their side of the story.
  • If violations occurred, FINRA may offer mediation or arbitration and can order restitution paid to you.

FAQs on FINRA Complaints

FINRA handles complaints against brokers and brokerage firms for issues like fraud, misrepresentation, unauthorized trading, theft and conflicts of interest. Complaints can involve broker accounts, investment advice, financial planning services and insurance products.

FINRA only has authority over FINRA-registered advisors and firms. If yours isn't, report them to your state securities regulator.

You can still file a FINRA complaint. It's a separate process focused on industry violations rather than legal claims.

Yes, you have six years from the event date, but don't delay. The sooner FINRA can investigate, the better.

Filing a complaint is free. If arbitration occurs and you want representation, there are lawyers' fees.I hope this guide on how to file a FINRA complaint helps investors seek restitution from brokers and advisors in cases of improper conduct. Let me know if you have any other questions!

Latest Complaints

7

Brokerage Misconduct: Pruco Securities’ Fernando Corcuchia Faces FINRA Proceedings

A Deep Dive into Fernando Corcuchia’s Allegations Last month, shocking revelations came to light when **Fernando Corcuchia** faced serious allegations of misconduct within the financial ...
Read More →
10

“Broker Brady Dougan Under Fire Over Worthless Credit Suisse AT1 Bonds: Civil Actions Looming”.

The Seriousness of the Allegations and How it Affects Investors Brady Dougan, a broker currently registered with Exos Securities, is facing multiple civil actions for ...
Read More →
8

Army Major and Financial Advisor Pleads Guilty to Defrauding Gold Star Families

I’d like to begin by underscoring the fact that trust and integrity are the linchpins of any sound financial relationship. We entrust financial advisors with ...
Read More →
9

Investor Uncertainty Rises as MacKenzie Realty Capital Eyes OTCQX Listing Amidst Program Halts

While discussing Mackenzie Realty Capital’s recent financial decisions, I’m reminded of the famous quote by Warren Buffet, “Only when the tide goes out do you ...
Read More →
10

San Diego Broker, Jonathan Bourgeois, Faces $4.1M Suit Over Alleged Excessive Trading

Understanding The Serious Allegations – Making Sense of the Investor’s Appetizer In the world of investments, trust and credibility are vital points of engagement. Yet, ...
Read More →
8

Broker Jeffrey Goldman Faces Investor Dispute Over Alleged Unsuitable Investment Recommendations

Unsuitable Recommendations: A Serious Allegation Jeffrey Goldman, currently registered with Chapin Davis, has recently faced allegations from an investor claiming that he recommended two unsuitable ...
Read More →
Scroll to Top