Complaints about companies
If you have a complaint about an investment you made in a company, or concerns about the conduct of a company, its directors or officers, you have a number of options. The one you choose depends on the following factors:
- The nature of your complaint
- Whether the company is public or private (public companies are listed on a stock exchange, private companies are not)
- Where the company is located
- What result you are seeking
Complaints about the conduct of a public company
Public companies are required to publicly disclose their business activities, financial position, and performance. When regulators find out that a company has broken the rules, they can review its conduct and take enforcement action. You can help by filing a complaint if you are concerned. Learn more
Complaints about an investment in a private company
High-pressure sales tactics, promises of spectacular returns, or guarantees that a company will go public are warning signs of a dangerous or fraudulent investment. If you suspect that a private company is breaking the rules in a pitch to sell you its securities, report it. Learn more
When things go offside
If something isn’t right about an investment you’ve made, look into it right away. There are steps you can take to make it right, which you can pursue on your own or with a lawyer. Learn more