Investment Advisor Fraud Whistleblower Report

Report Investment Advisor Fraud Anonymously and Securely

Suspected investment advisor fraud, securities violations, or unethical financial practices can put investors at serious risk. Whether you're an employee, industry professional, or concerned investor, this Investment Advisor Fraud Whistleblower Report template makes it simple to submit detailed, confidential reports that support regulatory compliance and investor protection.

Why Use This Whistleblower Form Template?

Financial fraud and misconduct require careful documentation and secure reporting channels. This template is designed for:

• Compliance officers at broker-dealers, RIAs, and financial institutions monitoring FINRA, SEC, and regulatory requirements
• Financial services firms establishing internal whistleblower programs to detect fraud early
• Investors and clients who have witnessed or experienced potential securities fraud, unauthorized trading, or misrepresentation
• Industry professionals committed to maintaining ethical standards and protecting the integrity of financial markets

This Paperform template creates a professional, anonymous reporting channel that captures critical details while protecting the identity of whistleblowers—a key factor in encouraging honest reporting and maintaining compliance.

Key Features for FINRA Compliance and Investor Protection

The form guides reporters through structured sections covering:

• Type of misconduct: unauthorized trading, Ponzi schemes, churning, front-running, insider trading, falsified records, and more
• Involved parties: advisor details, firm information, and other individuals connected to the suspected violation
• Incident details: dates, amounts, client impact, and evidence documentation
• Supporting documentation: secure file uploads for statements, emails, recordings, or other proof
• Optional contact information: reporters can choose to remain fully anonymous or provide secure follow-up details

Conditional logic ensures that only relevant follow-up questions appear based on the type of fraud reported, making the process efficient while capturing comprehensive information for investigation.

Streamline Investigations with Paperform

Paperform's secure infrastructure and flexible design make it ideal for compliance and whistleblower programs. Submissions can be routed directly to your compliance team, legal counsel, or designated investigators via email notifications or integrated into your case management system.

For teams that need workflow automation, Stepper (stepper.io) can help route reports based on severity, create investigation tasks automatically, and ensure timely follow-ups without manual intervention. If your process requires formal documentation or affidavits, Papersign (papersign.com) enables secure eSignatures for witness statements or investigator acknowledgments.

With SOC 2 Type II compliance, data residency controls, and enterprise-grade security, Paperform gives financial institutions and compliance teams the confidence that sensitive whistleblower reports are handled with the highest standards of confidentiality and protection.

This template is trusted by compliance officers, legal teams, and investor protection advocates who need a reliable, professional solution for anonymous fraud reporting.