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Have you taken legal action

PLEASE READ BEFORE YOUR SUBMIT : Before you submit you complaint here, contact your firm or report to a regulatory authority like SEC or FINRA. This complaint form only gathers information on your experience and grievances for public record and audit and is NOT affiliated with any regulatory authority, this broker or the firm. Your complaint is evaluated by volunteers at BrokerComplaints.com who may choose to evaluate the complaint and may pass it on to the appropriate regulator, journalist and public databases. If you plan to file a complaint with any regulatory authority or seek legal counsel, you must not wait for a response from volunteers at BrokerComplaints.com.

What is 7+4?

How do I file a complaint about an adviser or broker?

An investor who has a concern or complaint about their adviser should take the following steps:

  • Contact the adviser directly. Be sure to make detailed notes of any conversations. If there has been a miscommunication or administrative error, it may be easily fixed.
  • Write to the branch manager with a copy to the firm’s compliance officer.
  • If you are unable to resolve the issue with your adviser or are not comfortable raising the issue, you should contact the branch manager or compliance officer to see what may be done.
  • If you are still unsatisfied, contact your local regulator.

How do I report a scam or suspicious investment?

Feeling uncomfortable about an investment you’ve been considering? Not sure if you should believe your friend when he or she says the opportunity is too good to be missed?

If you are unsure whether to report, give yourself some peace of mind. Research the particular company or individual that is offering the investment.

Only you can ensure that you are making an informed decision.

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The information on the BrokerComplaints Website is general in nature, does not address the circumstances of any particular individual and is not intended as a substitute for personalized investment, financial, tax and legal advice. BrokerComplaints is not a fiduciary by virtue of any investor’s use of or access to the information on the BrokerComplaints website. You assume the sole responsibility of evaluating the merits and risks associated with the use of any information on the BrokerComplaints Website.


The use of a trademark in domain names associated with a website criticizing the trademark owner does not constitute cybersquatting under federal law, the U.S. District Court for the Eastern District of Michigan held Feb. 26 (Career Agents Network Inc. v. careeragentsnetwork.biz).

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This website is not affiliated, associated, authorized, endorsed by, or in any way officially connected with Christopher Wimpfheimer, or any of its subsidiaries, employer or its affiliates. The official contact page or profile can be found here. The name(s) Christopher Wimpfheimer as well as related names, marks, emblems and images are registered trademarks of their respective owners, and this website serves merely as a public awareness platform for investment-related grievances.

There are legitimate benefits to publicly analysing investment brokers and their firms. The public collaboration and discussion of a broker or firm in the Broker Complaints Database is not intended to suggest or imply that they have engaged in illegal or improper conduct.