To file a complaint regarding investment fraud or violations of Nevada’s securities and/or commodities laws, please make sure that your complaint relates to an investment made while you or the person you made the investment with were physically located in Nevada at the time of purchase or solicitation. If your communications with the person who offered or sold you the investment were entirely over the telephone or internet and you were not located in Nevada at the time of the offer or sale, please tell us why you think the other person was located in Nevada. The mere fact that a company is incorporated in Nevada may be insufficient for this office to take action if the parties to the transaction were all located outside of Nevada at the time the offer or sale was made and the company is not doing business in Nevada. If you are not a Nevada resident and the transaction took place in your home state, you should contact your state securities agency and file a complaint with your home state.
If you have a dispute with a securities firm or securities professional, you should first try to resolve it with the firm by filing a written complaint with the company. Also, you should review your customer account agreement to determine the procedures for resolving disputes with the company. Your agreement may require that disputes be ultimately resolved through an arbitration or mediation proceeding rather than by filing a suit in court.
Arbitration and mediation proceedings are private proceedings in which our office is not involved. You should consult a qualified securities lawyer for advice if you are considering filing a demand for arbitration in order to resolve your dispute. Our office cannot represent you or advise you concerning an arbitration proceeding. To learn more about the arbitration/mediation process, contact the Financial Industry Regulatory Authority (FINRA) at (212) 858-4200 or visit the FINRA website at http://www.finra.org/ArbitrationMediation/Parties/. You may always file a complaint with our office, even if you proceed with arbitration or a lawsuit.
The Securities Division CAN:
- Investigate complaints against individuals, corporations, and other business entities for violations of registration, licensing, or anti-fraud provisions of Nevada securities and/or commodities law.
- Initiate administrative and/or civil actions to stop these violations and/or to impose civil penalties.
- Investigate complaints of criminal violations of Nevada securities and/or commodities law and refer cases for criminal prosecution to the Nevada Attorney General.
The Securities Division CANNOT:
- Guarantee that your investment money will be repaid to you. (Although we may be able to recover your principal investment, there are many occasions where we are unable to do so).
- Give legal or investment advice.
The Complaint Form:
We require that the Complaint Form (click on “Download Complaint Form” below) be filled out completely in detail, signed and returned to us by mail. Make sure to attach copies of any documentation relating to the complaint--do not send your original documents. Once we receive your Complaint Form, we will review it to determine whether we can take action.