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What If I Suspect Affinity Fraud?

  • Print out a complaint form ( or write a letter to the U.S. Securities and Exchange Commission (SEC) at: SEC Complaint Center 450 Fifth Street, NW Washington, D.C. 20549­0213 Fax: 202­942­9634
  • Or, fill out their online complaint form at Complaints are best handled if the information provided is as accurate and complete as possible. Your complaint should include:
    • Your name, mail and email addresses, and telephone numbers.
    • The name, mail and email addresses, telephone numbers, and website address of any individual or company you mention in the complaint.
    • Specific details of how, why, and when you were defrauded or encountered problems with investments or your broker or adviser.

    Each complaint is thoroughly reviewed and passed to the appropriate SEC office. The Office of Investor Education and Assistance will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant’s personal financial matters. Attorneys in the Division of Enforcement evaluate complaints implicating violations of the federal securities laws. It is the general policy of the SEC to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SEC determines that enforcement action is not necessary or appropriate.

This is general information about affinity fraud and steps you can take to minimize your chances of being enticed into fraudulent investment schemes, but it is not a substitute for qualified legal counsel. Consult with a qualified securities attorney if you need legal information about affinity fraud or any other securities­related issue.

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