Where do I file a complaint against a stockbroker?
If you have a complaint against a stockbroker, you should first find out whether you actually have a claim before you file the complaint. Investment fraud or misconduct can be difficult to prove, and reporting potential misconduct or fraud too early could negatively impact your case.
You can consult with one of our experienced stockbroker misconduct lawyers in a completely free consultation, and we would be happy to explain whether or not you have a claim and your rights, options, and next steps in the situation.
If you decide to go ahead on your own, then it is possible to file a complaint through the FINRA Investor Complaint Center. Be aware, however, that it is highly likely that your broker will be represented by an experienced legal team during arbitration proceedings, and it is more complicated than you might have assumed. All investors should be represented by an experienced arbitration lawyer to level the playing field.
If you believe you have been the victim of investment fraud or stockbroker misconduct, contact one of our knowledgeable FINRA lawyers today at (888) 390-6491. We have helped investors all over the nation recover losses in FINRA arbitration against the entities that harmed them. If you'd like more information about the steps to take after investment fraud, take a look at our FREE book Five Signs of Investment Fraud ...And What to Do if it's Happened to You.