Complaints - Securities Commission of The Bahamas

Investigating complaints made in good faith about breaches of laws administered by the Securities Commission of The Bahamas is an important element of our work to protect investors/consumers of financial and corporate services, and to ensure fair and efficient capital markets.

There are a number of reasons a person may wish to file a complaint with the Commission.  A few are listed below:

  • He/she is the victim of, or suspects, an investment fraud or scam
  • He/she is offered investments/investment advice by a person not licensed to do so
  • He/she is denied legal entitlements, such as account statements, confirmations of trades, or appropriate treatment of personal information
  • He/she received misleading or false investment information
  • He/she is not receiving material information about an investment in a timely manner
  • Cash or other assets are missing from an account

The Commission strongly recommends that, if you have a complaint against a registered securities firm, you should first try to resolve the matter with the firm directly.

To submit a complaint to the Commission, download and complete the Complaint Submission Form and send the completed form and attachments to All information you provide will be treated as confidential.

For additional information about the Commission’s disciplinary process, please see the Securities Industry (Disciplinary Proceedings)(Hearings and Settlements) Rules, 2017 .