1300 W. Washington Street

Phoenix, AZ 85007-2996




Main: (602) 542-4242

Toll-Free Number in Arizona:
1-(866) 837-4399

Email: SecuritiesDiv@azcc.gov

Reporting Financial Exploitation of a Vulnerable Adult

Under A.R.S. § 46-471 et seq., if a qualified individual reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted or is being attempted, the qualified individual may notify Adult Protective Services (“APS”) and the Arizona Corporation Commission, Securities Division (“Securities Division”).


How to Report a Financial Exploitation of a Vulnerable Adult

You can report financial exploitation online by completing the Financial Exploitation Reporting Form:

If you are unable to complete the form online, please contact us by email at SEC-VA@azcc.gov or by telephone 602-542-0662 for assistance.

A copy of your online submission will be provided to APS.  If you require additional assistance from APS, please contact them at 1-877-SOS-ADULT (1-877-767-2385) or online at www.des.gov.

Who Can Report?

This form is only intended for a qualified individual to report the financial exploitation of a vulnerable adult. A “qualified individual” means a broker-dealer, investment adviser or person who serves in a supervisory, compliance, legal or senior investor protection capacity for a broker-dealer or investment adviser.

Within two days after delaying a disbursement or transaction, a qualified individual will notify the Securities Division and APS.  The Act provides immunity from administrative or civil liability to qualified individuals for taking actions permitted under the Act.

If you are not a qualified individual but would like to report an incident, please contact the Securities Division's Duty Officer by telephone at (602) 542-0662 or submit an investor complaint.


Who is Considered an Eligible or Vulnerable Adult?

An individual, who you suspect is being financially exploited, is defined as an “eligible adult” if they are sixty-five (65) years of age or older or is a vulnerable adult.  Vulnerable adult means an individual who is eighteen years of age or older and who is unable to protect himself from abuse, neglect or exploitation by others because of a physical or mental impairment. (See A.R.S. § 46-451(9)).  Vulnerable adult includes an incapacitated person as defined in A.R.S. § 14-5101.


How Long is the Delay?

Qualified Individuals may impose an initial delay of disbursements from an eligible adult’s account for up to 15 business days if financial exploitation is suspected. The Securities Division or APS can extend the delay for an additional 10 days or longer. 



How Do I Provide Additional Information?

To report additional information or investigative reports, please submit the documents to SEC-VA@azcc.gov and reference the suspected victim’s name in the email to ensure a timely review. You may also respond and attach the documents to the verification email received at the time of your submission.  

Stay Connected

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.Please call 602-542-3931 with any questions.

Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007


Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007


Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701