Complaints & Inquiries

Your complaint or inquiry may be handled by NYSE Regulation or fall within the jurisdiction of another regulator. Click on a link below if you are concerned about:  

• Order execution, insider trading or market manipulation on NYSE or NYSE Arca by a brokerage firm or representative
• Unfair sales practice or improper business conduct by a brokerage firm or representative industry-wide    
• Banks and Savings Institutions 
• Insurance Companies 
• Transfer Agents

If you have not already contacted the securities firm that your complaint or inquiry concerns, you may wish to do so before contacting NYSE Regulation or other regulators. This will give you and the firm an opportunity to resolve the situation without regulatory intervention.  If the response from the firm is not satisfactory, you are invited to file an inquiry or complaint.

If you have a complaint or inquiry regarding a specific NYSE order execution, be aware that NYSE Regulation cannot investigate your complaint without appropriate background information. In order to expedite our ability to respond to your concern, you will need to provide information that includes:

• name, address, telephone number, and email address
• name of security and stock symbol
• date of the trade
• specific order information
  • Order type (for example: buy, sell, limit price or market order, etc.)
  • Order size
• order identification code, branch code, and sequence number (readily available from your broker at no cost to you), and  
• the specific nature of the complaint or inquiry.

If applicable, please include when and by whom the matter may have been previously referred or reviewed.

Requests are handled in the order in which complete information is received.

If you wish to file any other type of securities-related complaint or inquiry, you may also file electronically with us.  Please note that we may forward your submission to the appropriate regulator and a response may take longer. 

To act on your communication, we request that you provide the following information:

• full name, address, telephone number, and/or e-mail address, unless you choose to remain anonymous.  Note: choosing to remain anonymous means we cannot obtain a response from the firm on your behalf
• name of the securities firm involved
• name of the broker and/or other individuals involved
• type of problem you are reporting
• type of product your complaint or inquiry involves
• name of securities and/or investment product involved, and
• a clear, concise summary of the complaint or inquiry.   

You may choose to mail or fax a letter detailing your concern instead of filing electronically. If so, send to:

NYSE Regulation
Complaints & Inquiries
20 Broad Street, 18th Floor
New York, NY 10005
Fax: 212-656-2119