U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Investor Complaints and Questions

FY 2011 Annual Complaint Data

During FY 2011, the SEC’s Office of Investor Education and Advocacy closed 33,632 files relating to complaints, questions, and other contacts received from investors. Comparable data for prior fiscal years is not available due to a change in reporting methodology.


Row 1;Advance Fee Fraud;1144
Row 2;Manipulation of Securities/Prices;803
Row 3;Account Administration and Processing (Matters Relating to Daily Activity in an Account);621
Row 4;Account Administration and Processing (Maintenance, Including Account Closing and Redemption Issues);599
Row 5;Delivery of Funds/Proceeds;487
Row 6;Transfer of Account;462
Row 7;Retirement or 401(k) plans;426
Row 8;Short selling;391
Row 9;Misrepresentations or omissions: inaccurate,misleading or non-disclosure by broker-dealers,investment advisers, and associated persons;383
Row 10;Theft/forgery (by persons or entities other than registered representatives or investment advisers); 371




Modified: 04/23/2012