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How to File a Financial Advice Complaint by Bonnie Kirchner

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How To File a Financial Advice Complaint

Bonnie Kirchner, CFP®, MST

Should you suspect you are being solicited by someone in a fraudulent manner, you can file a complaint or tip with the Financial Industry Regulatory Authority (FINRA) at www.finra.org or:

FINRA Complaints and Tips9509 Key West AvenueRockville, MD 20850

Phone: (301) 590-6500Fax: (866) 397-3290

Or the Securities and Exchange Commission (SEC) at www.sec.gov:

SEC Complaint Center100 F Street NEWashington, DC 20549-0213

Phone: (202) 551-6551Fax: (703) 813-6965

Or the North American Securities Administrators Association, Inc. (NASAA) to find your state’s regulator at www.nasaa.org:

North American Securities Administrators Association, Inc. (NASAA)750 First Street NE, Suite 1140Washington, ...

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