If you believe you are the victim of securities fraud, you may file a complaint with this Division. You may also file a complaint against a broker or investment adviser if you have knowledge that they have engaged in any activity which is unprofessional or unlawful.

You may either request that a complaint form be mailed to you, download a complaint form in PDF or WordPerfect format, or complete an on-line complaint form.

There are two different complaint forms:
    1) complaints against a licensed individual such as a broker or investment adviser, and
    2) all other complaints.

Select the type of complaint you would like to make, then choose the format you prefer to download the form:

• Broker/Investment Adviser Complaint Form (PDF)  (WordPerfect)  (MS Word)
• General Complaint Form (PDF)   (WordPerfect)  (MS Word)