Investor Complaints
The SEC 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 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]
You can submit an investor complaint form to OIEA to report problems with investments, an investment account, or a financial professional. [1]
Source-supported connections
Frequently asked questions
What does Investor Complaints mean in the cited reference?
The SEC 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]
Investor 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.