Complaints
The SEC’s Office of Investor Education and Assistance (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants.
Concept at a glance
Definition and explanation
The SEC’s Office of Investor Education and Assistance (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. [1]
Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional, including problems involving: [1]
Investors can provide the SEC with information about fraud or wrongdoing involving potential violations of the federal securities laws by using the Tips, Complaints and Referrals Portal . [1]
Source-supported connections
Frequently asked questions
What does Complaints mean in the cited reference?
The SEC’s Office of Investor Education and Assistance (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. [1]
Complaints connection map
Select a node to inspect the relationship and source.
Links retain their source-specific meaning. Award-time affiliations and links to related reading are not claims about current appointments or economic causation.
Sources and review dates
Reviewed 23 October 2026. Historical dates and award-time affiliations retain their original context. A review date is not an event date. Background sources are identified separately from official records.