Lodge your complaint with SEBI (2024)

FAQs

How to lodge a complaint against a stock broker? ›

You can lodge your complaint online with the Securities and Exchange Board of India (SEBI) and subsequently view its status. Users can register their complaints by filling up this online form, send reminder for their complaints and view status of their complaint. Toll free helpline number for investors is also given.

Queries are answered both through emails and letters wherever necessary. For any queries, investors may email to [email protected] (only for investors).

Investors could lodge their complaints against Stock-Brokers/Listed Companies along with the supporting documents either by registering their complaints through ODR Portal (w.e.f August 16, 2023) or SCORES (Home - scores.sebi.gov.in) or by sending an email at the nearest Investor Service C entre or by sending physical ...

Users can submit their complaints or grievances online with the Department of Commerce under the Ministry of Commerce and Industry. One needs to fill all mandatory entries such as name of the company, IEC number, address, etc.

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.

To ask a question or report a problem concerning your investments, your investment account or a financial professional, contact us online or call the SEC's toll-free investor assistance line at (800) 732-0330 (if outside of the U.S., call 1-202- 551-6551). Visit Investor.gov, the SEC's website for individual investors.

SCORES is an online platform designed to facilitate complainants to lodge their complaints, pertaining to securities market, online with SEBI against listed companies and SEBI registered intermediaries. SCORES is only a facilitative platform for investors to get redressal of their grievances from the concerned entity.

Call OIEA at 1-800-732-0330, ask a question using this online form, or email us at [email protected] . Visit Investor.gov, the SEC's website for individual investors and finra.org/investors , FINRA's website for individual investors.

Which is the largest stock broker in India? ›

A real list of top stock brokers in India 2024 by number of active clients in 2024. Groww is the top stock broker among all brokers in India. Groww is followed by Zerodha, Angel One, Upstox, and ICICIdirect.

TIPS AND COMPLAINTS

If you have a tip or complaint that one of our members may be violating Nasdaq rules or the federal securities laws, please contact us by emailing [email protected].

Legal Remedies Available for Suing a Company in India

Specific performance: The court may order the company to fulfill its contractual obligations or take specific actions to remedy the situation. Injunction: The court may issue an injunction, prohibiting the company from engaging in certain actions or behavior.

In India, you can file a case against a company for not paying salary by following these steps: 1. File a complaint with the Labor Department: Submit a written complaint to the local Labor Department or the Assistant Labor Commissioner, detailing the non-payment of salary and other relevant facts.

Explain your problem to the company by calling, web chatting, or sending them a formal complaint letter. Use this sample complaint letter as a guide to help you explain the problem and what you want done to resolve it. Then send it to: A salesperson or customer service representative.

FAIS Ombud – The Office of the Ombud for Financial Services Providers. Before submitting a complaint to the Office, the complainant must endeavour to resolve the complaint with the responding party. The responding party has six (6) weeks in which to resolve the complaint with the complainant.

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.

Broker misconduct is a broad term used to encompass any action or inaction a broker engages in that violates the duties owed to their client. Brokers are required to gather material information regarding their clients, diligently research any investments, and make suitable investments on a client's behalf.

File a Complaint

Use FINRA's online form to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.