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The Financial Industry Regulatory Authority (FINRA) Market Regulation - Amex Division welcomes information from investors. If you believe that you have been subjected to unfair or improper business conduct, you are encouraged to file a complaint. We appreciate your willingness to take the time and effort to assist us in collecting the necessary evidence to enforce securities rules and regulations, which helps us to protect investors.
You have two options when filing a complaint. You can use our online complaint form or you can print out a complaint form and mail or fax it to us by using the information below.
FINRA Market Regulation - Amex Division Please take the time to complete the complaint form with as much information as possible. This will help to alleviate a need to contact you further. Please do not send copies of your complaint by mail or fax if you have submitted your complaint online. We appreciate you bringing your concern(s) to our attention. FINRA, pursuant to a grant of authority from the Amex, will review this matter from a regulatory perspective. Unfortunately, we will not be able to disclose to you the contents of our review. This review and all documents that are contained in our investigatory files are confidential. The production of these documents would have a negative effect on the self-regulatory process and would be detrimental to public interest. In order to assure continued witness cooperation in future investigatory, disciplinary, and regulatory proceedings, and to maintain the integrity and effectiveness of an SRO's (Self Regulatory Organization) regulatory techniques and procedures, the courts have frequently recognized the privileged status of such documents. Be assured that appropriate action will be taken if any improprieties are found. Any monetary restitution should be pursued either through your firm or the arbitration process. Go to the Investor Complaint Form |