U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Investor Complaint Form

You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security. Please read our Privacy Act Notice to learn more about how we may use the information you send to us.

Please read our brochure, How We Handle Complaints, for information on what we will do with your complaint, your legal rights, and options for resolving your complaint.

Tell Us About Yourself

  * You must complete this information.

Tell Us About the Firm or Individual You Have a Complaint Against

Tell Us About Your Investment

Tell Us About Your Complaint

What types of documents would you be able to provide us if requested?


Tell Us What Action You Have Taken

Have you complained to the firm?  

Have you contacted any other regulators?  

If yes, whom?



Have you taken legal action?   If so, what type:

By clicking on "Review Form", you will have a chance to review, make changes, and print your submission.