All

How Do You File a FINRA Complaint?

Find out how to file a FINRA complaint, why FINRA wants you to contact the brokerage firm first, and when FINRA may route the matter to another regulator.

Direct answer

To file a FINRA complaint, start with FINRA's investor complaint page, contact the brokerage firm first if possible, and then submit the issue through FINRA's online complaint system. FINRA handles complaints involving brokerage firms and their employees, and it may refer issues outside its jurisdiction to another regulator.

broker or brokerage-firm issue + firm contact + FINRA complaint form = FINRA complaint

Complaint or another path

Report broker conduct

FINRA complaint

May not recover losses

Seek money recovery

Arbitration may fit

Separate dispute process

Check broker identity

BrokerCheck

Use exact names if possible

Issue outside FINRA

May be referred

Another regulator may handle it

Firm already contacted

Include response

Keep copies

Goal	Use	Caution
Report broker conduct	FINRA complaint	May not recover losses
Seek money recovery	Arbitration may fit	Separate dispute process
Check broker identity	BrokerCheck	Use exact names if possible
Issue outside FINRA	May be referred	Another regulator may handle it
Firm already contacted	Include response	Keep copies

A complaint is not arbitration

A FINRA complaint can trigger regulatory review, but it is not the same as filing a dispute-resolution claim to pursue recovery from a broker or firm.

File the complaint

1Identify the broker, brokerage firm, account, and issue.
2Contact the firm first when possible and keep the response.
3Use BrokerCheck if you need to confirm the broker or firm details.
4Submit the complaint through FINRA's investor complaint system.
5Consider arbitration separately if your goal is dispute resolution or recovery.

FAQ

Do I have to contact the firm before filing with FINRA?

FINRA says investors should contact the brokerage firm first when possible, then file a FINRA complaint if the issue is not resolved.

Can FINRA help with unauthorized trades?

Yes. FINRA's complaint process can be used for complaints involving brokers or brokerage firms, including issues such as unauthorized trading.

Is a FINRA complaint the same as arbitration?

No. A complaint reports a problem for regulatory review. Arbitration is a dispute-resolution forum that may be used to seek recovery.

Sources & method

We reviewed these references while writing this answer. Figures are estimates — confirm safety-critical work with a professional. Last updated June 7, 2026.