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.
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