Regulators · Americas
🇺🇸 SEC United States
Securities and Exchange Commission
Check a firm
- Search the SEC register ↗ for the exact company name and licence number the broker gives you.
- Match the website and phone number on the register to the ones you were given. Clone firms copy real names.
- Read the SEC warnings ↗.
- Also check IOSCO I-SCAN ↗, which gathers warnings from regulators worldwide.
Official site: sec.gov
Where to complain
- Complain to the firm first, in writing, and keep copies. Most schemes need this step.
- If it isn't fixed, go to FINRA Dispute Resolution ↗. Using it is free.
- Tell the regulator: SEC contact and complaints ↗.
- If the firm isn't licensed by SEC, these routes may not help. Report fraud to your local police too.
Watch out: after you complain online, "recovery" firms may contact you. Regulators and ombudsmen never charge to get money back. Read about recovery scams.
Brokers in our list that state a SEC licence (1)
- Interactive BrokersINTERACTIVE BROKERS LLC · 0258600