1300 W. Washington Street
Phoenix, AZ 85007-2996
The Securities Division of the Arizona Corporation Commission is responsible for regulating the securities industry in the state of Arizona. One of our main functions is to oversee the firms and individuals that engage in the offer and sale of securities
to the public. If you are a victim of securities or investment advisory fraud, please send us your complaint information.
You can file a complaint with the Securities Division by submitting a Complaint Form online, by mail or e-mail. To file a complaint that involves the exploitation of a vulnerable adult, please use the Securities Division's Exploitation of a Vulnerable Adult Form found here.
The more information you provide, the more likely we will be able to promptly decide what we can do. The following information is critical to investigate the subject of your complaint:
Option 1: Resolve Disputes Directly with the Securities Dealer.
If you have a dispute with a securities dealer or securities professional, you can first try to resolve it with the securities dealer. If the person you are dealing with is not helpful, contact a supervisor in the firm or the firm's compliance department.
Option 2: Resolve Dispute through Arbitration or Mediation.
Review your customer account agreement to determine whether you have agreed to procedures regarding dispute resolution. Most customer account agreements require the investor to take any dispute to arbitration, and not directly to court. Learn more about the arbitration process by reading a brochure by the Financial Industry Regulatory Authority (FINRA).
NOTE: You are always entitled to file a complaint with the Securities Division, even if you go to arbitration.
Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.
Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances. Have questions about Notices and Agendas, click here for contact information.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.