Filing a Complaint

To file a legitimate complaint with this office, please make sure the complaint relates to an investment:

• made from or into the State of Nevada
• made within the last 3 to 5 years

If you have a dispute with a securities firm or securities professional, you should first try to resolve it with the firm, then the branch manager or the firm's compliance department. Also, you should review your customer account agreement to determine whether procedures require that you settle a dispute through FINRA Arbitration, not through civil court.

Arbitration is a method of having a dispute between two or more parties resolved by an impartial panel of individuals who are knowledgeable in the areas of controversy. Arbitration is generally quicker and less expensive than using the courts to resolve a complaint. Once the arbitration panel has made a decision, the decision is final and binding on all parties. Such final decisions are subject to review by a court only on a very limited basis. Also, if arbitration is chosen as a means of resolving a dispute, the complaining party gives up the right to pursue the matter through the court system. The Securities Division is not authorized to arbitrate disputes between securities firms and investors, but you are always entitled to file a complaint with the Securities Division, even if you proceed with arbitration.

If you wish to resolve your complaint through arbitration or wish to learn more about the process, contact the Financial Industry Regulatory Authority (FINRA) at (212) 858-4000 or visit the FINRA website at www.finra.org.

The Securities Division CAN:

Investigate complaints against individuals, business corporations and other entities for violation of registration, licensing or anti-fraud provisions of the laws administered by the Securities Division.

Bring administrative and/or civil actions forth to stop these violations; render sanctions and refer matters for criminal prosecution

.

The Securities Division CANNOT:

Act as a court of law or order damages to be paid (in some cases, restitution is made to investors as a result of the division's actions but, the division cannot get your money back for you).

Give legal or investment advice.

Download Complaint Form (PDF)