Investor Protection & Securities:: Enforcement

Enforcement

• Enforcement Orders
• Administrative Orders
• Policy on No-Action Determinations
• Securities News Releases

The Enforcement Section investigates and resolves complaints from Missouri investors.  Each year the office receives numerous investor complaints which may result in the initiation of investigations, many of which result in cease and desist orders, consent orders, censures, investor restitution, civil penalties or criminal prosecutions.  The attorneys and investigators in the section pursue millions of dollars in penalties, payments and restitution each year and are leaders in national enforcement actions and task forces  

You can learn how to file a complaint with the Securities Division and download the complaint form to expedite the process.