How to File and Track a Complaint on SEBI SCORES

The Securities and Exchange Board of India (SEBI) is the primary regulatory authority mandated to protect the interests of investors in the Indian securities market. As part of this mandate, SEBI provides a centralized, web-based grievance redressal mechanism known as SCORES (SEBI Complaints Redress System). SCORES is designed to facilitate the resolution of investor complaints against listed companies, SEBI-registered intermediaries, and market infrastructure institutions. The platform aims to provide a transparent and efficient mechanism for investors to raise their concerns and track the progress of their complaints.

This guide provides a comprehensive, step-by-step overview of the SCORES complaint process, including eligibility, required evidence, registration, tracking, and escalation procedures. It is essential for investors to understand the procedural nuances and limitations of the SCORES platform to ensure their grievances are addressed effectively.

1. Entity-First Complaint Requirement

Before approaching SEBI through SCORES, an investor must first take up their grievance directly with the concerned listed company or SEBI-registered intermediary [[9]](/sources/investor-protection/9). This entity-first requirement ensures that the primary parties involved have an opportunity to resolve the dispute amicably before regulatory intervention is sought. The entity is expected to resolve the issue within a stipulated timeframe. SCORES is intended to be a secondary escalation route when the direct approach fails to yield a satisfactory resolution or when the entity fails to respond. By mandating this initial step, SEBI encourages a culture of accountability among market participants while reserving its resources for unresolved or complex disputes.

2. Jurisdiction and Exclusions

SCORES handles complaints concerning matters covered under the SEBI Act, Securities Contracts (Regulation) Act, Depositories Act, and certain provisions of the Companies Act [[18]](/sources/investor-protection/18). This broad jurisdiction encompasses a wide range of securities market activities, including trading, depository services, mutual funds, and corporate actions.

However, it is crucial to recognize that SCORES is a facilitative platform, not an adjudicatory body. It routes complaints and mandates responses but does not conduct trials or adjudicate disputes. It does not handle: - Complaints against unregistered or unregulated entities. - Anonymous or incomplete complaints. - Allegations unsupported by basic evidence. - Private commercial agreements or disputes outside securities-market regulations. - Matters already under consideration by a court, tribunal, or the SMART ODR platform.

Investors must ensure their grievances fall within the permissible scope before filing a complaint on SCORES.

3. The One-Year Filing Window

Timeliness is a critical factor in the grievance redressal process. An investor may lodge a complaint on SCORES within one year from the date of the cause of action [[18]](/sources/investor-protection/18). The cause of action refers to the specific event or transaction that gave rise to the dispute. Complaints submitted after this limitation period are generally not accepted through the portal. This one-year window is designed to ensure that disputes are raised while evidence is still fresh and entities can reasonably investigate the claims. Investors are advised to initiate the complaint process promptly to avoid missing this critical deadline.

4. Registration and KYC Fields

To file a complaint on SCORES, the investor must register on the portal or the mobile application. This registration process is essential for verifying the identity of the complainant and establishing a secure communication channel. Mandatory registration fields include: - Full Name - Address - Email Address - Permanent Account Number (PAN) (subject to stated PAN-exempt processes) - Mobile Number - Date of Birth

Registration on the portal is an administrative requirement for tracking and communication; it does not constitute SEBI's endorsement of the complaint's merits [[18]](/sources/investor-protection/18). The information provided during registration must be accurate and up-to-date, as it will be used for all subsequent correspondence regarding the complaint.

5. Evidence Checklist and Attachment Limits

When lodging a complaint, investors should provide clear, chronological details and support their claims with relevant documents. A well-documented complaint significantly enhances the chances of a favorable resolution. An evidence checklist may include: - Correspondence with the entity (emails, letters, complaint tickets). - Contract notes, Demat account statements, or ledger extracts. - Bank statements showing relevant transactions. - Any other official documentation related to the dispute.

The current SCORES FAQ states that users may upload supporting documents up to a cumulative maximum of ten files and 20 MB [[18]](/sources/investor-protection/18). Investors should carefully select the most relevant documents to stay within these limits while providing a comprehensive overview of the issue.

6. Complaint Categories

Complaints are categorized based on the nature of the grievance and the type of entity involved (e.g., listed company, stockbroker, depository participant, mutual fund). Accurate categorization is vital for the efficient processing of the complaint. It helps the auto-routing mechanism direct the complaint to the appropriate regulated entity or designated body for prompt action [[10]](/sources/investor-protection/10). Investors should carefully select the relevant category to ensure their complaint reaches the correct department without unnecessary delays.

7. The 21-Day Action Taken Report (ATR)

Once a complaint is lodged, it is forwarded to the concerned entity. The entity is required to submit an Action Taken Report (ATR) within 21 calendar days [[18]](/sources/investor-protection/18). The ATR must detail the steps taken by the entity to address the grievance and provide a clear resolution or explanation. *Note: Older overviews, such as the general SEBI Investor grievance page, may still reference a legacy 30-day timeline [[9]](/sources/investor-protection/9); however, the current SCORES FAQ identifies 21 calendar days as the operative workflow reference.* This expedited timeline underscores SEBI's commitment to swift grievance redressal.

8. The 15-Day Review Request

If the investor is dissatisfied with the entity's ATR or if the entity fails to respond within 21 days, the investor has a 15-calendar-day window to request a first review of the complaint [[18]](/sources/investor-protection/18). This review mechanism provides an opportunity for the investor to challenge the entity's response and seek further intervention. It is crucial to utilize this window promptly, as failure to do so may result in the complaint being treated as disposed.

9. The 10-Day Designated-Body Review

Upon receiving a review request, the complaint is escalated to a designated body (such as the relevant stock exchange or depository). The designated body acts as an independent reviewer, examining the ATR and the investor's concerns. The designated body has a 10-calendar-day timeline to review the case and provide its assessment or direct further action [[18]](/sources/investor-protection/18). This stage introduces an additional layer of scrutiny, ensuring that the entity's response is evaluated objectively by a competent authority.

10. The Second Review and Clarification

If the investor remains dissatisfied after the designated body's review, they have a further 15-calendar-day window to request a second review, which escalates the matter to SEBI [[18]](/sources/investor-protection/18). This final escalation step allows SEBI to directly examine the complaint and the actions taken by the entity and the designated body. During any stage of the process, SEBI or the designated body may seek clarification from the investor or the entity. Prompt and accurate responses to these clarification requests are essential for the smooth progression of the complaint.

11. Tracking and Disposal

Investors can track the real-time status of their complaints using the unique registration number provided upon filing [[10]](/sources/investor-protection/10). The investor dashboard exposes the status and action history, providing transparency and visibility into the redressal process. A complaint is considered disposed of when a final resolution is provided, when the investor fails to respond to clarification requests, or when the grievance falls outside SCORES jurisdiction. Investors should regularly monitor their dashboard to stay informed about any updates or requests for additional information.

12. SMART ODR Boundary

If an investor remains dissatisfied after the SCORES process, they may pursue alternative remedies, including the SMART ODR (Securities Market Approach for Resolution Through Online Dispute Resolution) portal, consumer courts, or civil courts [[11]](/sources/investor-protection/11) [[14]](/sources/investor-protection/14). The SMART ODR portal offers a structured framework for conciliation and arbitration, providing a formal mechanism for resolving complex disputes. However, it is important to note the boundary between SCORES and SMART ODR. Selecting the ODR route while a SCORES complaint is pending causes the SCORES complaint to be treated as disposed [[18]](/sources/investor-protection/18). Investors should carefully consider their options and choose the most appropriate redressal mechanism based on the nature and complexity of their grievance.

Practical Checklist for Investors

To navigate the SCORES process effectively, investors should follow this practical checklist: 1. Contact Entity: Attempt resolution with the broker or company first. Document all communications. 2. Gather Evidence: Collect contract notes, emails, bank statements, and any other relevant documentation. 3. Register: Create a SCORES account using your PAN and contact details. Ensure all information is accurate. 4. File: Submit the complaint within the one-year window, attaching up to 10 files (max 20 MB). Categorize the complaint correctly. 5. Track: Monitor the dashboard for the 21-day ATR. 6. Review: Request a review within 15 days if dissatisfied with the ATR. 7. Escalate: Consider SMART ODR if the final SCORES resolution is unsatisfactory.

Claim, Evidence, and Limitation Table

Limitations and Verification Note

SCORES facilitates redressal by routing complaints and mandating responses; it does not conduct trials or adjudicate disputes. Scam indicators, such as guaranteed high returns or unregistered entities, are verification triggers that may necessitate reporting, rather than definitive findings of fraud [[19]](/sources/investor-protection/19) [[20]](/sources/investor-protection/20).

*Verification Note: The procedural timelines and file limits described in this guide are based on the official SEBI SCORES FAQ retrieved on 14 September 2026. Regulatory procedures are subject to change. Investors must re-check the official SCORES portal for updated timelines and requirements before filing a complaint.*

Internal Links

• Return to the Investor Protection section.
• Learn how to verify whether a broker is SEBI registered.
• Read our guide on stock market scams in India.

--- *Disclosure: This guide is for educational and informational purposes only. It does not constitute legal, financial, or personalized advisory services. tradegrows does not provide trade signals, target prices, return promises, or broker recommendations. Please consult a qualified professional for advice specific to your situation.*