The single biggest reason a genuine SEBI SCORES complaint fails to produce a result is not a lack of merit.
There is a lack of documentation. An investor who experienced a real violation but cannot prove it with organised evidence starts at a significant disadvantage.
An investor who has the right documents, organised in the right format, filed at the right time, gives their complaint the best possible chance of producing a result.
This page covers exactly what documents SEBI SCORES requires, what formats are accepted, what the file size limits are, how to upload correctly, and what a strong evidence package looks like compared to a weak one.
Does SEBI SCORES Require Specific Documents?
SEBI SCORES does not publish a rigid mandatory document list that applies identically to every complaint. What the portal requires varies by complaint type.
However, every complaint, regardless of category, is stronger with the same core set of documents, and specific complaint types have specific evidence that becomes essential.
The principle is simple.
Your complaint description tells SEBI what happened. Your documents prove it. A complaint with no supporting documents is a set of allegations.
A complaint with organised, timestamped, relevant documents is a case.
The Core Documents Every SEBI Complaint Needs
Before filing a grievance against a broker, research analyst, investment adviser, or any other SEBI-registered entity, gathering your paperwork is essential.
These five foundational documents form the bedrock of any SEBI SCORES complaint, serving as the concrete evidence required to turn your narrative into a verifiable case:
1. Proof of identity and registration on SCORES
When you register on SCORES, you will be asked to provide your PAN number and basic personal details.
Having your PAN card available during registration ensures the process completes without interruption.
This is not uploaded as a document in most cases, but the PAN is verified against government records during registration.
2. Proof of the relationship with the intermediary
This is the document that proves you were actually a client of the entity you are complaining against. For a broker, this is your account opening form and client code.
For a research analyst or investment adviser, this is your subscription agreement, service agreement, or subscription confirmation email.
For a mutual fund, this is your folio statement or account statement showing you hold units.
If you do not have a written subscription agreement because the firm never provided one, that absence is itself relevant to your complaint and should be noted in your complaint description.
The fee payment receipt then becomes your primary proof of relationship.
3. Payment proof
Every rupee you paid to the entity must be documented. Bank transaction records showing the amount, the date, and the payee name are essential.
UPI transaction screenshots with the UPI ID and transaction reference should also be gathered.
Many investors ask, is SEBI SCORES complaint free to file?
Yes, filing the actual grievance on the government portal does not cost you anything.
However, you must prove the exact fees you paid to the intermediary to claim a refund, which is why your bank records are critical.
Payment to a personal account rather than a corporate account is itself evidence of a violation and should be highlighted in your complaint description.
4. Trading or account records
Your trading account statement or ledger from your broker covering the disputed period. Contract notes for specific trades being disputed.
Demat account statements if securities transfer is the issue. Mutual fund account statements if redemption or NAV calculation is the issue.
Portfolio statement from the investment adviser if unsuitable advice is the complaint basis.
These records show what actually happened in your account during the period of the dispute.
5. The internal grievance correspondence
SEBI expects you to have attempted resolution with the intermediary before filing on SCORES.
Your email to their compliance officer, their response or non-response, and the date of both are part of your complaint file.
This correspondence also establishes the timeline for your complaint and shows SEBI that the intermediary had an opportunity to resolve the matter and did not do so adequately.
What Counts as Valid Proof of Communication for a SEBI Complaint?
Proof of communication is the category of evidence that most investors underestimate before it becomes critical.
When your complaint involves specific promises made during a sales call, specific advice given via WhatsApp, or specific instructions that led to a financial loss, the communication record is often the most powerful evidence you have.
WhatsApp screenshots are valid evidence and are used regularly in SEBI complaints and arbitration. Screenshot the entire conversation, not just the specific message.
The context around a guarantee or a specific instruction matters. Ensure the contact name, date, and timestamp are visible in every screenshot.
Email correspondence is the strongest form of written evidence because emails are dated, carry sender and recipient details, and cannot be easily denied.
Forward all relevant emails to your personal archive before the complaint process begins.
Call recordings are valid if legally recorded. In India, a person can legally record a call they are a party to.
If you have call recordings where guaranteed returns were promised or where specific trading instructions were given, these are highly valuable. Note the date, time, and the name of the person you spoke to.
SMS and text message records can be screenshotted.
The sender’s name or number and the date must be visible.
Social media posts, YouTube videos, or website screenshots where the entity made return claims or performance claims that influenced your decision are valid as supplementary evidence.
Screenshot or save these with the URL and date visible.
Telegram screenshots are valid for complaints involving Telegram-based advisory groups. Screenshot the message, the group name, the sender’s profile, and the date.
Evidence Specific to Each Complaint Type
Different types of SEBI complaints require distinct pieces of proof to build a strong case. Providing targeted evidence helps the authorities quickly verify the exact rules the entity broke.
Here is the key proof you need, depending on your specific issue:
1. For guaranteed return promise complaints
The specific communication in which the promise was made is the centrepiece.
A WhatsApp message saying “you will earn Rs. 20,000 per month guaranteed,” alongside your payment receipt and your trading statement showing actual results, is a complete complaint package.
The gap between the promise and the reality is what SEBI’s adjudicators examine.
2. For fee cap violation complaints
Your subscription payment receipts across the relevant period, showing the total fees paid. If you are subscribed to multiple RAs or IAs, the combined fee calculation.
The SEBI annual fee cap is Rs. 1,51,000 per client family across all RA and IA subscriptions combined. If your total payments exceeded this, the receipts documenting that total are your primary evidence.
3. For unauthorised trade complaints
Contract notes for the disputed trades showing dates, instrument names, and trade values. Your written instruction record showing what you actually authorised.
Any communication where you raised the unauthorised trade issue with your broker and their response.
The ledger debit corresponding to the unauthorised trade.
4. For recovery promise or loss recovery pitch complaints:
The communication where the recovery was promised after your losses appeared. Your loss documentation showing the losses that existed at the time the pitch was made.
Your additional payment receipt if you paid for an upgrade or recovery package.
The subsequent trading results showed that the recovery promise was not delivered.
5. For non-refund complaints
Your refund request, in writing with a date. The firm’s refusal or non-response. Your original service agreement if it contains any refund term. Your payment receipt.
The communication showing you did not receive the service as contracted, if that is the basis for the refund demand.
SEBI SCORES File Format and Upload Requirements
The SCORES portal accepts the following file formats for document upload.
PDF files for multi-page documents such as account statements, contract notes, and email correspondence. PDF is the preferred format for documents with multiple pages.
JPG and PNG image files for screenshots of WhatsApp messages, SMS records, social media posts, and website captures.
Some versions of the portal also accept JPEG and other common image formats. If a specific format is rejected during upload, convert the file to PDF and try again.
File size limit: Each file uploaded to SEBI SCORES must be within a specified size limit. Based on the portal’s technical requirements, individual file uploads are typically capped at 2MB per file.
If your document is larger than 2MB, compress it before uploading.
For PDF files, use a PDF compression tool to reduce file size without losing readability. For image files, reduce the resolution or image dimensions.
Number of files: The portal allows multiple file uploads per complaint.
If you have more documents than can be attached to the initial filing, note in your complaint description that additional supporting documents are available and can be provided on request.
File naming: Name your files clearly before uploading. Payment receipt 15 March 2025, WhatsApp screenshot guarantee 22 January 2025, Trading statement April to June 2025 are examples of clear file names.
Clear file names make it easier for SEBI’s processing team to understand what each document is without opening it.
How to Organise Your Documents Before Filing?
A well-organised set of documents can make the complaint process smoother and reduce the chances of delays or repeated requests for information.
Before filing a complaint on SEBI SCORES, keep all the relevant records in one place and arrange them in a way that clearly explains your case.
- Create a separate folder: Make a dedicated folder on your device and name it using the entity’s name and the date on which you are filing the complaint.
- Keep relationship documents together: Create a subfolder containing your subscription agreement, account opening form, and any KYC documents that you submitted to the entity.
- Collect payment records: Create another subfolder for payment documents, including receipts and bank statements showing the amounts paid to the entity.
- Store all evidence in one place: Create a third subfolder containing communications, trading records, and any specific proof related to the violation mentioned in your complaint.
- Convert files into PDFs: Wherever possible, combine documents into PDF format. For example, a long WhatsApp conversation is easier to review as a single PDF instead of multiple screenshots.
- Prepare a timeline of events: Before filling out the complaint form, write a one-page summary of the events in chronological order, mentioning the relevant dates and facts.
This summary can be used while drafting the complaint on SCORES and helps ensure that no important details are missed.
The Complaint Description: What to Write on SCORES
The complaint description field on SCORES is where you tell SEBI what happened. It is not a place for emotional language or general frustration.
It is a factual, chronological account that tells a clear story.
Write in this structure. Date of first contact with the entity.
What was promised or described during the sales process?
Date of payment and amount paid.
What was actually delivered after payment?
The specific event that constitutes the violation. The date you raised the issue with the entity internally. Their response or non-response.
What resolution are you seeking?
Reference your attached documents in the description. Mention that your payment receipt dated 15 March 2025 is attached as Document 2 and your WhatsApp conversation showing the guarantee is attached as Document 3.
This connects your narrative to your evidence.
Keep the description factual. SEBI adjudicators read hundreds of complaints.
Clear, specific, factual accounts with referenced evidence are processed more efficiently than long emotional narratives without specific dates or amounts.
For the complete guide on how to file your SCORES complaint, including the correct intermediary category to select and how to submit the form, the step-by-step filing guide covers the full process. Check the full guide: SCORES SEBI complaint.
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Conclusion
A SEBI SCORES complaint is only as strong as the evidence behind it.
The five core documents every complaint needs are proof of relationship with the intermediary, payment proof, trading or account records, internal grievance correspondence, and proof of the specific communication that constitutes the violation.
These apply to every complaint type.
Beyond the core, each complaint type has specific evidence that is essential. Guarantee promises need the communication where the promise was made.
Fee cap violations need the combined payment receipts. Unauthorised trades need contract notes and instruction records. Non-refund complaints need the refund request and the refusal.
The SCORES portal accepts PDF, JPG, and PNG files within the specified size limit per file. Organise documents into a clear folder structure before starting the complaint form.
Write a factual, chronological complaint description that references your attached documents by name.
Evidence organised before filing is what moves a complaint forward efficiently. Evidence gathered after filing in response to information requests is what causes delays.
Frequently Asked Questions
Every SEBI SCORES complaint needs five core documents: proof of relationship with the intermediary such as a subscription agreement or account opening form, payment receipts showing what you paid and when, trading or account records covering the disputed period, internal grievance correspondence showing you attempted resolution before SCORES, and proof of the specific violation such as a WhatsApp screenshot of a guarantee or a contract note for an unauthorised trade.
SEBI SCORES accepts PDF files for multi-page documents and JPG or PNG files for screenshots and images. PDF is recommended for documents with multiple pages. If a file is rejected during upload, convert it to PDF and try again. Check scores.sebi.gov.in for the current accepted format list as technical specifications may be updated.
Individual files uploaded to SEBI SCORES are subject to a per-file size limit, typically around 2MB per file. If your document exceeds this limit, compress it using a PDF compression tool or reduce the image resolution before uploading. If you have more documents than can be uploaded, note in the complaint description that additional supporting documents are available on request.
Proof of communication includes WhatsApp screenshots with visible contact name, date, and timestamp, email correspondence forwarded to your personal archive, call recordings if legally made, SMS records with visible sender details and date, Telegram message screenshots with group name and date, and website or social media screenshots with visible URL and date showing the entity's marketing claims.
Create a single folder named with the entity name and filing date. Organise into three sub-folders: relationship documents, payment documents, and evidence documents. Convert everything to PDF where possible. Write a one-page chronological summary of events before starting the complaint form. Name each file clearly before uploading so the processing team can identify documents without opening them.
Write a factual, chronological account covering the date of first contact, what was promised during the sales process, the date and amount of payment, what was actually delivered, the specific violation event and its date, your internal grievance attempt and the response, and what resolution you are seeking. Reference the attached documents by name within the description. Keep the language factual and specific, not emotional.
The ability to add documents after initial filing depends on the stage your complaint is at and the portal's current functionality. If the complaint is still active, log in and check whether an option to add documents exists on your complaint detail page. If not, mention in any follow-up correspondence with SEBI that additional supporting documents are available and provide them when requested during the review or SMART ODR process.
