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    Home » Investment Issues? Know Where and How to File a Complaint
    Investment

    Investment Issues? Know Where and How to File a Complaint

    Naresh SainiBy Naresh SainiApril 2, 2025No Comments4 Mins Read
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    Investment Issues? Know Where and How to File a Complaint
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    Investing in the stock market has become highly popular in India, thanks to increasing digitization and financial awareness. With over 11 crore unique investors registered with the National Stock Exchange (NSE) by January 2025, market participation has surged 3.6 times in the last five years. While many investors enjoy good returns, a rising number also face problems such as fraud, unfair trading practices, and service deficiencies. To help investors, the Securities and Exchange Board of India (SEBI) has set up multiple complaint redressal platforms. Here’s a detailed guide on how to file a complaint regarding investment-related issues.

    Growing Investor Complaints in Stock Market

    As more investors enter the stock market, the number of complaints has also increased. SEBI received 44,599 complaints in 2023-24, marking a 28.3% rise compared to the previous year. In February 2025 alone, SEBI recorded 3,969 complaints. Fraud cases in the stock market increased by 45.9% during the same period. Many investors find it challenging to get their grievances resolved, making it essential to know the right process for filing complaints.

    SEBI’s Online Complaint Platforms

    To assist investors facing stock market issues, SEBI provides various online complaint platforms. Before escalating any complaint to SEBI, investors should first approach the concerned stockbroker, mutual fund company, or listed company for resolution. If the issue remains unresolved, they can file a complaint online. Here are SEBI’s key complaint redressal platforms:

    1. SEBI Complaints Redressal System (SCORES)

    • Investors can file complaints against listed companies, stockbrokers, mutual funds, and other registered intermediaries.
    • The complaint must be filed within a year of the issue occurring.
    • Available via the SCORES portal or mobile app.
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    2. Smart Online Dispute Resolution (ODR)

    • Helps investors settle disputes without lengthy legal processes.
    • Provides an online resolution mechanism for quick settlements.

    3. Market Intelligence (MI)

    • Designed for reporting fraudulent activities and suspicious market behavior.
    • Helps SEBI monitor and take action against violations like insider trading and price manipulation.

    Types of Complaints SEBI Handles

    Investors can file complaints related to various stock market and investment issues, such as:

    • Listed Companies
      • Non-receipt of dividends, bonus shares, or buyback proceeds.
      • Non-transfer of securities.
      • Issues related to address or signature updates.
    • Mutual Funds
      • Delays in redemption payments.
      • Incorrect charges or excessive fees.
      • SIP cancellation issues despite prior notice.
    • Stockbrokers
      • Unauthorized transactions or cutting positions without consent.
      • Issues related to IPO applications or trade execution failures.
    • Depositories
      • Unauthorized dematerialization of shares.
      • Closing accounts without notice.
      • Charging excessive fees.

    Complaints That SEBI Does Not Handle

    Certain complaints fall outside SEBI’s jurisdiction. These include:

    • Complaints against unlisted companies.
    • Cases involving companies under liquidation.
    • Issues related to companies removed from the Registrar of Companies (ROC).
    • Matters under the jurisdiction of other regulatory bodies like:
      • Reserve Bank of India (RBI) – Banking-related complaints.
      • Insurance Regulatory and Development Authority of India (IRDAI) – Insurance disputes.
      • Pension Fund Regulatory and Development Authority (PFRDA) – Pension fund-related grievances.
      • Competition Commission of India (CCI) – Market competition-related cases.

    Steps to File a Complaint on SEBI’s SCORES Platform

    1. Visit the SCORES Website – Go to https://scores.gov.in/.
    2. Register/Login – First-time users must register with their details and create a login ID.
    3. Submit Complaint – Select the relevant category and fill in the details with supporting documents.
    4. Track Status – After submission, investors can track their complaint status online.
    5. Resolution – SEBI will review and take necessary action within the stipulated time frame.
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    Other Avenues for Investment Complaints

    If SEBI does not resolve your issue, you can escalate the matter through:

    • Investor Associations – Various investor protection organizations assist in grievance redressal.
    • Consumer Courts – Investors can file cases for fraud or unfair practices.
    • Legal Action – In severe cases, approaching civil courts or high courts may be necessary.

    With growing investment in the stock market, it is crucial to be aware of investor rights and complaint mechanisms. SEBI’s platforms ensure that investor grievances are addressed efficiently, making the stock market a safer place for all participants.

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    Naresh Saini
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    Naresh Saini, a graduate with over 10 years of experience in the insurance and investment sectors, specializes in covering topics related to insurance, investments, and government schemes. His expertise and passion for the financial industry allow him to provide valuable insights, helping readers make informed decisions. Naresh is committed to delivering clear and engaging content in these fields.

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