Regulators: US Securities and Exchange Commission SEC


 Prerequisite:   Before you complain to regulators

Country: United States of America
Country Common Nicknames: United States, USA, US
Big Bad Regulator, Long Name: The Securities and Exchange Commission
BBR, Short name: SEC or US SEC
Type: Government, under US Dept of Treasury
Main website homepage:
Regulatory licenses issued: [Yes,  database listing  of Money Services Business MSBs]
Complaints: No
Do they do alerts? Yes, occasionally several times a monthTwitter
Do they ever eject a registered company? Yes, database is updated weekly
Do they ever fine a registered company? Yes.  A couple of times a year.  show regular 6-8+ figure civil penalties.
Do they ever directly or indirectly file criminal charges? Yes.
Do they ever mandate repayments to clients? No.
Contact info see below [keep reading until end]


As a sub-division of the U.S. Treasury department, FinCEN helps to




Remember to study the  Before you complain to regulators  guide before reaching out. 

Contact emails consumerfinance
Contact form consumer
Contact list: ^^  ^^
Additional contacts Read below
Regulatory Helpline  1-800-767-2825 toll free
or 703-905-3591
Regional offices
Senior Citizen dedicated hotline 844-57-HELPS (844-574-3577)
Monday – Friday
9 a.m. – 5 p.m. Eastern Time  [website]
FINRA law authority SEC Press release 2007-151  |  SEC Commissioner’s order 34-56145 authorizing NASD + NYSE sro merger into FINRA
Research companies BrokerCheck  [hotline: (800) 289-9999] | FINRA disciplinary actionsIndividuals Barred by FINRA  |  SEC Action Lookup Individual (SALI)  |  Public Alert: Unregistered Soliciting Entities (PAUSE)  |  State Securities Regulator (NASAA)
Complaint against broker Complaints homepage  |  General Tips (no whistleblowing)  |  Formal Complaint  |  Arbitration  |  MediationSecurities Investor Protection Corporation (SIPC)
Ombudsman?   Ombudsman
Investor resources Tools / Calculators  |  Types of Investments  |  Arbitration Awards history  |  ConEmIfYouCan  |  FINRA Foundation   |
Key pamphlets  FINRA Investor Complaint Brochure [local copy] |  Fighting Fraud 101  [local copy]  |

Author Profile



4EverMaAT started trading derivatives since he was 18 years old, and found his way into forex over a decade ago and started developing automated trading systems to assist his leap into professional trading. This includes creating the worlds first (and only?) true coincident trend indicator: APAMI (Awesome/Amazing Price Action Measurement Indicator). No lag, no averaging. Just complex, measured price action made simple. Find out more at

MaAT is an ancient Kemetic phrase that translates to "Truth, reciprocity, balance". Obviously when a company or trader tries to scam their client/business partner out of money, this upsets the natural balance that exists when contracts are formed and traded. But the best way forward is not to be a helpless victim, but to ensure that you are informed with whom you are trading with. And more importantly, whom you are trusting your hard earned dollars with.

4EverMaAT couldn't help but notice that the scams that most people fall for are very similar day by day, month over month, and year after year. MaAT believes that less people would fall for scams if only they took some more responsibility for their own trading choices. This ultimately means resisting one's own gambling impulse and gathering hard evidence (video, screenshot, trading history, etc) of all relevant trading activity. And consolidating this evidence so that it creates a clear, concise timeline of events. More details are related at upcoming blog


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