How do you contact FINRA?
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How do you contact FINRA?
Call the FINRA Gateway Call Center at (301) 869-6699. Send us an email.
What is the FINRA number?
(800) 289-9999
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC’s Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator.
What constitutes a FINRA complaint?
If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm. If you are still not satisfied with the firm’s response, you can send a complaint to FINRA.
How do I report someone to FINRA?
File a Complaint Use FINRA’s online form to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.
How do you ask FINRA a question?
Have a Question? Investors can submit questions to FINRA Investor Education. Firms and registered representatives should contact their FINRA Risk Monitoring Analyst or the FINRA Call Center: (301) 590-6500.
How do I get FINRA?
How to Apply
- Step 1: Reserve Your Firm’s Name.
- Step 2: Sign up for System Access.
- Step 3: Pay Your Application Fees.
- Step 4: Meet FINRA’s Standards of Admission.
- Step 5: Submit Form BD Online.
- Step 6: Mail Hard-Copy Form BD.
- Step 7: Submit All Additional Required Forms.
- Step 8: Submit Fingerprints.
What must be reported to FINRA?
FINRA Rule 4530(b) requires a firm to report to FINRA within 30 calendar days after the firm has concluded, or reasonably should have concluded, on its own that the firm or an associated person of the firm has violated any securities, insurance, commodities, financial or investment-related laws, rules, regulations or …
Where do I report a broker?
If you believe you are a victim of a scam broker, the first step you should take is to contact your local regulator and make a complaint. In South Africa, you can contact the FSCA here. If your complaint is regarding a licenced South African broker, you can also contact the FAIS Ombudsman here.
How do I register my business with FINRA?
How do I report a trade?
Any questions regarding trade reporting to a FINRA Facility should be directed to FINRA’s Market Regulation Department, at (800) 321-6273; FINRA’s Office of General Counsel, at (202) 728-8071; or FINRA Market Operations, at (866) 776-0800.
What misdemeanors must be reported to FINRA?
Form U-4 requires reporting of anycharge or conviction of, or guilty and no contest plea to: (1) any felony or misdemeanor involving investments or investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to …
How do I complain about a financial company?
If you’re unhappy with a financial product or service, find out how to complain….How to complain
- Step one: Contact the firm directly. If you have a complaint about a firm or service, you should first ask the firm to put things right.
- Step two: Contact the Financial Ombudsman Service.
- Step three: Take the matter to court.
How do I sue a brokerage firm?
Yes, you can sue your broker if you have had losses in your financial account. There are two primary ways of suing your broker: filing a suit or filing an arbitration. Keep in mind that you cannot simply sue your broker and be successful in doing so if you have suffered financial losses.
How do I keep my Series 7 license active?
As such, a financal advisor’s Series 7 license will remain active for 24 months after the advisor leaves his or her current broker dealer firm. If the advisor wishes to rejoin a broker dealer after the 24 months have passed, the advisor will need to retake the Series 7 examination.
