1300 W. Washington Street
Phoenix, AZ 85007-2996
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 financial fraud, please send us your complaint information.
What the Securities Division can do
What the Securities Division cannot do
How to File a Complaint
You can file a complaint with the Securities Division by submitting a Complaint Form online, by mail or e-mail. To file a complaint that involves the exploitation of a vulnerable adult, please use the Division's Exploitation of a Vulnerable Adult Form found here.
What should you say in your complaint?
The more information you provide, the more likely we will be able to promptly decide what we can do. The following information is critical to investigate the subject of your complaint:
STEPS YOU CAN TAKE IF YOUR COMPLAINT INVOLVES A DEALER
If you have a dispute with a securities firm or securities professional, you can first try to resolve it with the firm. If the person you are dealing with is not helpful, contact a supervisor in the firm or the firm's compliance department.
Review your customer account agreement to determine whether you have agreed to procedures regarding dispute resolution. Most customer account agreements require the investor to take any dispute to arbitration, and not directly to court.
If you are interested in learning more about the arbitration process, you can contact the Financial Industry Regulatory Authority (FINRA).
You are always entitled to file a complaint with the Securities Division, even if you go to arbitration.