Filing a Complaint with the Securities Division
The Secretary of State’s Office is responsible for ensuring compliance with state securities laws through the Securities Division. This responsibility includes enforcement of the law when violations occur, and the regulation of investment sales through registration of securities, broker-dealers, agents, investment advisers and investment adviser representatives. State securities laws are often referred to as the “Blue Sky Law” and are intended to protect investors from fraudulent investment schemes.
How to fill out the complaint form
[ Complete the On-line Complaint Form ]
[ Download the Complaint Form ]
Please answer each question. If a question does not apply to your particular situation, please fill in “n/a” (not applicable).
Be as concise and as specific as possible when answering the questions. Present the events in the order in which they happened using dates whenever possible.
If you are in doubt as to whether to include a fact in your summary or a piece of documentation, please include it.
Be sure to send copies of any documents concerning your investment that were given to you by the company or individual involved or that you may have obtained from another source. Keep the originals for your files.
Once a Complaint is Received by the Securities Division
An attorney with the Division will evaluate the information you have provided. The Division may attempt to resolve the matter, open an investigation and assign the matter to an investigator. Whether or not you pursue a complaint with this office, you may be referred to private counsel and/or arbitration.
Please be advised that this office cannot represent you, as it must pursue the State’s interest, which may or may not directly benefit you individually. If you choose to obtain private counsel, this office will cooperate with that individual to every extent possible.
Arbitration is a lower cost alternative to litigation. Arbitration booklets are available from the National Association of Securities Dealers, 12 Wyandotte Plaza, Suite 900, 120 West 12th Street, Kansas City, MO 64105, phone (800) 289-9999
If you have questions or wish to request free informational guides for investing, contact:
Office of the Secretary of State
600 West Main Street
PO Box 1276
Jefferson City, MO 65102
Investor Protection Hotline