Surface the Truth. Protect Your Investments.
Investigate financial advisors. File complaints. Recover your losses.
Search an Advisor by Name, Firm, or CRD Number
Latest Complaints
How to File a Complaint Against Your Financial Advisor
- Gather your documentation — Collect account statements, emails, trade confirmations, and any evidence of misconduct.
- Identify the violation type — Churning, unsuitable investments, unauthorized trading, misrepresentation, or fraud.
- File with FINRA — Submit your complaint online at FINRA’s Investor Complaint Center.
- Consider legal counsel — An investment fraud attorney can evaluate your case at no cost.
- Track your complaint — Monitor progress and follow up within 30 days.
Common Questions
Search their name on FINRA BrokerCheck, or use our site to find complaint reports. Look for disclosure events, regulatory actions, and customer disputes on their record.
Common violations include churning (excessive trading), unsuitable investment recommendations, unauthorized trades, misrepresentation of risk, and fee-based conflicts of interest. If your advisor put you in investments that don't match your risk tolerance or goals, you may have a case.
FINRA arbitration must typically be filed within 6 years of the event. But sooner is better — evidence fades, witnesses become harder to reach, and statutes of limitations vary by state. File as soon as you suspect misconduct.
Yes. Through FINRA arbitration, investors recover billions each year. If your advisor violated suitability or fiduciary duties, you may be entitled to compensatory damages, plus interest. An investment fraud attorney can evaluate your case for free.
FINRA BrokerCheck reports are public. Complaints that lead to settlements exceeding $15,000 appear on an advisor's record for 2 years. This transparency helps other investors make informed decisions.
Sponsored Resource
Need Legal Help Recovering Investment Losses?
Haselkorn & Thibaut has helped investors recover losses for 95+ years and involved in $500 million in securities. Free consultation. Nationwide representation in FL, NY, AZ & NC.
Stay Informed. Protect Your Investments.
Get our free Investor Intelligence Report weekly. Red flags, complaint updates, and regulatory news — straight to your inbox.
No spam. Unsubscribe anytime.