File a Complaint (2024)

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Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.

Before you file a complaint with FINRA, contact your firm.

Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm.

If you are unsure of what type of complaint you have and choose to file it with FINRA, we will evaluate the complaint and may pass it on to the appropriate regulator if it is not within FINRA's jurisdiction. Forwarding your complaint to other regulators may delay the process of investigating your complaint.

FILE A COMPLAINT

File a Complaint (2024)

FAQs

File a Complaint? ›

New Jersey Consumers (Residents) who need assistance or would like to file a complaint against Debt Collection Practices, Stores or Businesses, or another New Jersey State Governmental Agency, should access the New Jersey Consumer Affairs website at http://www.state.nj.us/lps/ca/ocp/ocpform.htm or call (973) 504-6200.

How do I file a complaint with the state of New Jersey? ›

New Jersey Consumers (Residents) who need assistance or would like to file a complaint against Debt Collection Practices, Stores or Businesses, or another New Jersey State Governmental Agency, should access the New Jersey Consumer Affairs website at http://www.state.nj.us/lps/ca/ocp/ocpform.htm or call (973) 504-6200.

How do I file a consumer complaint in NY? ›

Call the toll-free Consumer Assistance Hotline at 800-697-1220 or file a complaint online at https://dos.ny.gov/file-consumer-complaint. Consumers can also request a consumer complaint form by calling the hotline. Free.

How to make a complaint? ›

Put it in writing

It is helpful if you can put your complaint in writing. If you don't feel comfortable doing that, you could ask a friend, carer, family member or an organisation like Citizens Advice to help you. Write 'complaint' at the top of your letter or email, so there can be no doubt.

Is it complaints or complains? ›

Complaints and complains are examples of this common mistake. Complaints is a noun. It mean "the expressions of discomfort, unease, pain, or grief." Complains is the third-person singular form of the verb "complain." It means "to express unease or discomfort, to lament."

How much does it cost to file a complaint in NJ? ›

Superior Court, Law Division, Civil Part
Fee SubjectFeeAuthority
Complaint$250.00N.J.S.A. 22A:2-6
Filing of First Paper by Anyone Other than the Plaintiff$175.00N.J.S.A. 22A:2-6
Motion$50.00N.J.S.A. 22A:2-6
Complaint in Multicounty Litigation$250.00N.J.S.A. 22A:2-6
8 more rows

Who can serve a complaint in NJ? ›

(a) Summons and Complaint. Summonses shall be served, together with a copy of the complaint, by the sheriff, or by a person specially appointed by the court for that purpose, or by plaintiff's attorney or the attorney's agent, or by any other competent adult not having a direct interest in the litigation.

Who investigates consumer complaints? ›

Consumer Complaints

Complaints are used by the Attorney General's Office to learn about misconduct and to determine whether to investigate a company.

What does New Jersey Consumer Affairs do? ›

Holding financial institutions accountable.

To help build a fairer New Jersey, DCA protects New Jersey residents from consumer fraud and abuses committed by the biggest financial institutions in the world as well as smaller companies offering novel and fringe financial products.

What is the consumer right in New York? ›

The City's Consumer Protection Law prohibits unfair trade practices when dealing in consumer goods or services - such as false advertising, phony sales, and special offers with hidden conditions. The law also lays out proper behavior in the collection of consumer debts.

What are the three ways of making a complaint? ›

You can complain by phone, in person, or in writing by email or mail. Phone or email first to tell the company about the problem and to try to resolve it.

How do you successfully complain? ›

How do you complain effectively?
  1. Be clear on what your complaint is. ...
  2. Know what result you're hoping to achieve. ...
  3. Don't lose your temper. ...
  4. Never make it personal. ...
  5. Be genuine and sincere. ...
  6. Use social media. ...
  7. Ask to speak to someone new. ...
  8. Write to head office.

Where do I write a complaint? ›

Complaint letters are written to the concerned authorities when you are not satisfied with some service, or you have a problem that needs to be addressed. See to it that you write the letter in a polite manner. The format of a complaint letter follows the format of a formal letter.

When to use complaint? ›

'Complain' is often used to express dissatisfaction or annoyance about a situation or event. For instance, you might say, "I always complain about the traffic on my way to work." On the other hand, 'complaint' is typically used in a more formal context. It's often associated with official reports or legal matters.

What is a complain example? ›

Examples of complain in a Sentence

If you're unhappy with the service, you should complain to the manager. The students complained that the test was too hard. “These shoes are too tight,” he complained.

What do people complain about? ›

People usually complain when they have been inconvenienced or face a discomfort. They may also complain when they have been duped or cheated by someone. Some people may complain without any valid reason, as they may have a complaining attitude.

What should be contained in a complaint? ›

Your complaint must contain a “caption” (or heading) that includes the name of the court and county, the parties to the case (and their designation, like “plaintiff” or “defendant”), the case number (if you have one), and the title of the document.

How do you process a complaint? ›

8 steps for handling customer complaints
  1. Listen to the customer. If a customer has complained, it means that they want their unique problem to be heard. ...
  2. Show empathy. ...
  3. Apologize. ...
  4. Ask thorough questions. ...
  5. Loop in necessary parties. ...
  6. Find a swift solution. ...
  7. Follow up. ...
  8. Create a record.

How do I file a civil complaint in NJ? ›

  1. STEP 1: Fill out the Complaint (Form A) ...
  2. STEP 2: Fill out the Civil Case Information Statement (CIS) ...
  3. STEP 3: Make a check or money order payable to Treasurer, State of New Jersey in the.
  4. STEP 4: Check your completed forms and make copies. ...
  5. STEP 5: Mail or deliver the forms to the court.
Aug 15, 2022

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