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If you think that your securities broker has done something illegal or improper, there are various governmental and professional authorities to whom you can complain.
These links will take you to the pages on which some of them explain how to file a complaint. Where I don't list the authorities, especially the state authorities, it's because I have no data on them. You are welcome to send me the details of the authorities, of course.
National bodies:
State bodies:
- Alabama Securities Commission - Procedure for Filing a Complaint
- Alaska Department of Community and Economic Development - Investor Complaints
- Arizona Corporation Commission Securities Division - Investor Complaints
- Arkansas Securities Department (Includes telephone numbers, including Investor Protection Hotline)
- California Department of Corporations - Consumer Complaint and Inquiry Forms
- Colorado Department of Regulatory Agencies - Information to Aid an Investor.... Procedures for Filing a Complaint
- State of Connecticut: Department of Banking (Includes Securities and Business Investments Division)
- State of Delaware Department of Justice - Most Frequent Complaints Regarding Violation Of The Delaware Securities Act By Registered Professionals
- District of Columbia Department of Insurance and Securities Regulation - Securities Fraud Report Form
- Georgia Secretary of State Cathy Cox - Investor and Consumer Protection
- State of Hawaii Department of Commerce and Consumer Affairs - Securities Enforcement Branch
- State of Idaho Department of Finance - Securities Bureau FAQ (The forms themselves are here.)
- CyberDriveIllinois: Securities - Enforcement Complaint Center
- Indiana Secretary of State Todd Rokita: Securities Division - Online and mail-in complaint forms
- Iowa Insurance Division - Securities Complaints
- Office of the Kansas Securities Commissioner: Enforcement and Compliance Divisions
- Kentucky Department of Financial Institutions: Division of Securities - Complaint Form
- Louisiana Office of Financial Institutions - Complaint Form (Mail-in, PDF)
- Maine Department of Professional and Financial Regulation: Securities Division - Consumer Information/Complaints
- Maryland Attorney General: Securities Division - Complaint Form (Mail-in, PDF)
- Secretary of the Commonwealth of Massachusetts: Securities Division - Enforcement Section
- State of Michigan: Office of Financial and Insurance Services - How to File a Complaint
- State of Minnesota Department of Commerce: Division of Financial Examinations - Complaint Form (Mail-in, PDF)
- Mississippi Secretary of State - Securities
- Office of the Secretary of State, Missouri, Matt Blunt - Filing a Complaint with the Securities Division
- Montana State Auditor’s Office: Securities Department - Complaint Form (Mail-in, PDF)
- Nebraska Department of Banking and Finance: Securities Bureau - Complaint Form (Mail-in, PDF)
- Nevada Secretary of State, Securities Division - Complaint Questionnaire (Mail-in, PDF)
- New Hampshire Securities Regulation - Filing a Complaint
- New Jersey Office of the Attorney General: Division of Consumer Affairs - How to File a Complaint
- New Mexico Regulation and Licensing Department: Securities Division
- Office of NYS Attorney General Andrew M Cuomo - Investors and Securities: Frequently Asked Questions
- North Carolina Department of the Secretary of State: Securities Division - How to File a Complaint
- North Dakota Securities Department - Complaint Form
- Ohio Department of Commerce Securities Division - Complaint Instructions
- Oklahoma Securities Commission - Enforcement Division
- Oregon Division of Finance and Corporate Securities - To file a complaint
- Pennsylvania Securities Commission
- Puerto Rico Office of the Commissioner of Financial Institutions - Complaints
- State of Rhode Island: Department of Business Regulation: Division of Securities - Complaint Form (Mail-in, PDF)
- South Carolina Office of the Attorney General: Securities Division - Registering a Complaint
- South Dakota Revenue and Regulation - Division of Securities: Enforcement and Investor Complaints
- Tennessee Securities Division - Filing a Complaint with the Division
- Texas State Securities Board: Enforcement Division - Submit a Complaint
- Utah Division of Securities - On-line BD/Adviser Complaint Form
- State of Vermont: Securities Division - Consumer Assistance
- Virginia State Corporation Commission: Division of Securities and Retail Franchising - Filing a Complaint
- Washington State Department of Financial Institutions - Investment and Escrow Complaints
- West Virginia State Auditor's Office - Contact our Securities Division
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