check out your broker/investment advisor

• FINRA BrokerCheck
• Securities and Exchange Commission – Check Out Brokers and Advisors
• National Futures Association BASIC

get other help

• Brokerage firm bankruptcy – Securities Investor Protection Corporation
• Identity theft – Federal Trade Commission
• 401(k) claims – U.S. Department of Labor
• Where to Turn for Help With Your Investments - CFA Institute
• Fraud Center – North American Securities Administrator Association
• Investor.gov – Securities and Exchange Commission

report investment fraud/abuse

• Securities and Exchange Commission
• Your state securities regulator
• Commodity Futures Trading Commission
• FINRA Complaint Center

file arbitration/mediation claims

• Financial Industry Regulatory Authority
• National Futures Association
• CFTC Reparations Program