Securities Division

Securities Complaints and Reporting

Investor Complaints and Reporting


The Securities Division of the Arizona Corporation Commission is responsible for regulating the securities industry in the state of Arizona.  One of our main functions is to oversee the firms and individuals that engage in the offer and sale of securities to the public. If you are a victim of securities or investment advisory fraud, please send us your complaint information.

Reporting Financial Exploitation

Under A.R.S. § 46-471 et seq., if a qualified individual reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted or is being attempted, the qualified individual may notify Adult Protective Services (“APS”) and the Arizona Corporation Commission, Securities Division (“Securities Division”).

This form is only intended for a qualified individual to report the financial exploitation of a vulnerable adult. A “qualified individual” means a broker-dealer, investment adviser or person who serves in a supervisory, compliance, legal or senior investor protection capacity for a broker-dealer or investment adviser.

 

 

Contact the Securities Division

Address:

1300 W. Washington St,
Phoenix, AZ 85007

Phone:

Main:
(602) 542-4242

Toll-Free in AZ:
1-(866) 837-4399

Email:

Securities Enforcement:
SecuritiesDiv@azcc.gov

Registration:
SEC-AOD@azcc.gov