Securities Law Enforcement
The Securities Division vigorously pursues all complaints and investigates allegations involving violations of the New Mexico Securities Act (Statutes) of 1986 and the Model New Mexico Securities Act (Rules). The Division has the authority to impose civil penalties, suspend or revoke licenses, bar individuals from associating with licensed broker-dealers or investment advisers, and issue orders to cease and desist from further violation of the law.
When appropriate, the Division refers cases to local authorities and works with them in prosecuting cases of fraud and other white collar crimes.
If you feel you have been defrauded, have been approached by someone offering a suspect investment “opportunity,” or have questions about the conduct of a financial professional, refer to the Complaint Procedures page, e-mail us, or call the division toll-free number (800) 704 5533.
