File A Complaint
The Securities Division is charged with enforcing state laws that protect investors from unfair and abusive practices by those who are in the business of giving investment advice or selling investment products.
If you feel you have been defrauded, have been approached by someone offering a questionable investment, or are dissatisfied with services offered by a broker, investment adviser or other financial professional, fill out and submit the form above. The Securities Division will open a preliminary investigation based on the information you provide. All information remains confidential and neither the content nor the source of the complaint will be available for public inspection unless the Division institutes formal proceedings in the case.
You should be aware that the Division cannot promise to obtain a return of your funds, nor can the Division act as your attorney in this matter.
Securities Internet Complaint Form
Please contact our office if you have any questions at 800.704.5533 or 505.476.4580.