All written complaints, received from a customer or from an individual acting on behalf of the customer, must be reported promptly to the principal of the firm. The firm is required to:

  • Maintain a copy of the complaint in a supervising office of supervisory jurisdiction.
  • Electronically report all complaints to FINRA within 15 days of the end of each calendar quarter.
  • Report complaints within 10 days to FINRA if the complaint alleges misappropriation of funds or securities or forgery.
Investor Information

Related Articles
  1. Investing

    Resolving Disputes With Your Financial Advisor

    Before you blame your advisor for your losses, be sure you know your rights and responsibilities.
  2. Financial Advisor

    What Triggers an SEC Audit for Financial Advisors?

    Advisors looking to avoid an SEC audit should pay heed to this list of what may catch the regulator's attention.
  3. Investing

    Microsoft Saw 238 Internal Complaints on Harassment, Discrimination

    Microsoft is among a slew of companies in the technology sector that has been plagued by claims of sexual harassment in the workforce.
  4. Investing

    AT&T: DirecTV Now Faces User-Refund Complaints

    AT&T is facing complaints from customers who say they can't get a refund after a seven-day trial.
  5. Insights

    UPS Reaches Safety Settlement With Union (UPS)

    United Parcel Service settled with Teamsters Local 2727 on a legal complaint centering on employee safety issues for 19-foot lifts.
  6. Investing

    AT&T Announces $1 Billion Non-Cash Charge

    An SEC filing indicates the carrier is taking a $1 billion non-cash charge due to benefit plans.
  7. Insights

    How to Avoid Being Scammed by Asset Recovery Companies

    Victims of money scams have even more to worry about than their lost assets: the real risk of getting scammed again, by a so-called asset recovery firm.
  8. Investing

    Tesla Hit With Unfair Labor Practices Complaint

    The Silicon Valley electric vehicle maker has called the allegations a 'baseless' attempt at discrediting Tesla publicly in the media.
  9. Insights

    If You Win a Broker Arbitration, But Can't Collect

    Here's what to do next if your broker stiffs you when you win an arbitration.
  10. Personal Finance

    How the Consumer Financial Protection Bureau Works

    The CFPB cracks down on unfair or deceptive financial service practices to that can hurt consumers. Read how it works and how it's changing.
Trading Center