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Did you know the SEC has an internal investigation unit? If you are having problems with SEC personnel or contractors you can file a complaint with the OFFICE OF THE INSPECTOR GENERAL:

Internal Investigation Program

The Office of Inspector General is responsible for investigating allegations of staff and contractor misconduct. Commission staff should contact the Office directly, either orally or in writing, with allegations or complaints of suspected misconduct. Complainants are protected from reprisal under the Inspector General Act, as well as other statutes (e.g.,the Whistleblower Protection Act). Employees should notify the Office of Inspector General of any retaliation or they can contact directly the Office of Special Counsel (202/254-3670 or 800/872-9855), which administers the Whistleblower Protection Act. The Office zealously pursues any interference with its investigations.

The Office has jurisdiction to investigate allegations of a wide variety of administrative, civil, and criminal misconduct. For example, investigations of alleged lying (about time and attendance, on travel vouchers, to a supervisor, etc.), conducting unauthorized business or other activities from Commission offices or computers, and theft or misuse of money or property have been conducted. The Office has also investigated alleged violations of trust, such as conflict of interest and unauthorized disclosure of non-public information.

During an investigation, the Office collects and analyzes evidence, including documents and witness testimony, from a variety of sources. The Office may use its statutory authority to subpoena documents and administer oaths as necessary. Technical experts (e.g., FBI crime labs, contractors) may be used to analyze evidence when needed. Subjects of investigations receive written notice of their rights before questioning.

To protect the rights of staff, the Office strives to keep its investigations confidential to the extent possible. The Office takes numerous precautions to protect complainants and witnesses, as well as subjects, and ensure a fair and objective investigation. Commission staff have been very cooperative in providing information to the Office, reflecting their concern for maintaining the Commission’s integrity.

An investigation is not, by itself, proof of misconduct. When the evidence developed substantiates the allegations, the Office refers the matter for possible disciplinary action or prosecution, but does not itself take such action. The Office generally does not come to a conclusion as to guilt or innocence, and makes no recommendation as to sanctions or actions to be taken. Administrative matters are referred to Commission management officials, the Office of General Counsel, and the Office of Human Resources. Civil and criminal matters are referred to the Department of Justice, local prosecutors or other appropriate authority.

Commission staff are responsible for reporting fraud or other misconduct affecting Commission programs and operations. The Office accepts written or oral complaints, as well as anonymous allegations (although investigations are usually more effective if the complainant can provide specific information or documents upon request).

Contact

If you wish to make a complaint about misconduct by Commission staff or contractors, or if you have a question or comment about the Office of Inspector General’s audit or investigation programs, please contact us at:

Securities and Exchange Commission
Office of Inspector General
100 F Street, NE
Washington, DC 20549-2736
Phone: (202) 551-6061
FAX: (202) 772-9265
E-Mail: oig@sec.gov

If your complaint is about a financial professional or is an investment-related matter, you may file a complaint online, or call the Office of Investor Education and Advocacy at (800) 732-0330 or (202) 551-6551.