Who Can You Trust With Your Money?: Get the Help You Need Now and Avoid Dishonest Advisors

Chapter 21. Filing a Complaint

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 Tips

9509 Key West Avenue

Rockville, MD 20850

Phone: [phone]

Fax: [phone]

Or with the Securities and Exchange Commission at www.sec.gov:

SEC Complaint Center

100 F Street NE

Washington, DC 20549-0213

Phone: [phone]

Fax: [phone]

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

North American Securities Administrators Association, Inc. (NASAA)

750 First Street, N.E., Suite 1140

Washington, DC 20002

Phone: [phone]