SEC Complaint Center
Welcome to the SEC Complaint Center. The Division of Enforcement and the Office of Investor Education and Assistance created the SEC Complaint Center to make sure that the concerns and problems of individual investors are known throughout the SEC and considered when we take action. We welcome hearing from you because your complaint may be the one that alerts us to a bad broker or firm, an unfair practice in the securities industry that needs to be changed, or the latest Internet fraud.
How Do I File a Complaint?
There are several ways to file a complaint:
You can file a complaint right now, by using one of our online complaint forms.
You can print out a form or write us a letter and mail or fax it to us. Our address is:
SEC Complaint Center
450 Fifth Street, NW
Washington, D.C. 20549-0213
Fax: 202-942-9634
You can forward spam (junk email) or copies of message board postings to enforcement@sec.gov. Please do not use this email box for general complaints or questions.
If you have a general question about the federal securities laws or your investments, go to our "Fast Answers" web page.
What Should I Say in My Complaint?
We can best review a complaint if we receive accurate and complete information from you. Though you are not required to furnish any more information than you wish, critical information for us to completely evaluate your complaint includes:
Your name, mail and email addresses, and telephone numbers.
The name, mail and email addresses, telephone numbers, and website address of any individual or company you mention in the complaint.
Specific details of how, why, and when you were defrauded or encountered problems with investments or your broker or adviser.
What Happens After I File a Complaint
We thoroughly review and evaluate each complaint so that we may refer it to the appropriate SEC office. The Office of Investor Education and Assistance will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant's personal financial matters. The professionals in this office can counsel you regarding possible remedies and may, under appropriate circumstances, approach brokerage firms, advisers or other financial professional concerning matters you have raised.
Attorneys in the Division of Enforcement evaluate complaints implicating violations of the federal securities laws. It is the SEC's policy to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SEC determines that enforcement action is not necessary or appropriate.
Subject to the provisions of the Freedom of Information Act, the SEC cannot disclose the existence or non-existence of an investigation and any information gathered unless made a matter of public record in proceedings brought before the SEC or in the courts. You can find information about public enforcement actions on our Web site.
sec.gov
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