Securities Division

Case Information

How Can I Find Out About a Case or Investigation?

If you know the phone number or email of the attorney or investigator working on the matter, you can contact them directly.  However, please be aware that due to a confidentiality statute, staff members of the Securities Division are limited in the amount of information they can provide to the public.

If you do not know the name of the staff member working on an investigation or case, you can phone our inquiry number, (602) 542-0662, or send us an email.

If a public case has already been filed, you can find the administrative complaint on our Enforcement Actions' page.  Click on the date of the action to see administrative complaint. To access the eDocket file containing all of the public documents filed in a case, click on the Respondent's name. eDocket also contains a schedule of all public events in a case, such as prehearings, hearings and Commission Open Meetings.

Proposed orders will be considered by the Commission at a scheduled Open Meeting.  If an order you are interested in is scheduled to be heard, you can watch the Open Meeting on your computer.

If a final order has been entered in the case, you can find it in on our Enforcement Orders' page.

To find out about the process involved in our cases, please see the Administrative Action Procedure page.