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


Understanding the Importance of Suitable Investment Recommendations

As a writer and financial analyst, I have witnessed the negative effects of receiving inappropriate investment guidance. The disturbing truth is that when a financial ...
Read More →

Financial Advisor Russell Stein at Raymond James Faces Serious Allegations

As a financial analyst and legal expert with over a decade of experience, I’ve seen my fair share of cases involving financial advisors who fail ...
Read More →

Financial Advisor Sam Jacobs Accused of Risky Trading at Key Investment, LaSalle St.

As a financial analyst and legal expert with over a decade of experience, I’ve seen my fair share of cases involving financial advisors who engage ...
Read More →
law 1

Can You Sue a Financial Advisor?

Hey there! I’m here to steer you through the stormy sea of suing a financial advisor. Putting your money in the hands of someone who ...
Read More →

Brokers Investigated for Unsuitable Forza X1 Recommendations, Potential Investor Claims Loom

There is nothing more concerning to investors than serious allegations and cases that directly impact their investments. Investors place their trust and hard-earned money in ...
Read More →

Ex-Newbridge Securities Broker, Michael Grande, Accused of Misconduct in FINRA Investigation

Understanding the Seriousness of the Allegations As a seasoned financial analyst and legal expert, I cannot stress enough the seriousness of the allegations directed towards ...
Read More →
Scroll to Top