Securities

HOW TO FILE A COMPLAINT WITH THE DEPARTMENT

The forms on this page are provided in PDF (Portable Document Format) files, which can be viewed or printed using your Web browser and Adobe's Acrobat Reader software. Macintosh and Windows versions of Acrobat Reader may be downloaded free of charge from Adobe.

Inquiries and complaints from the general public are often the primary sources of leads for detecting violations of the Illinois Securities Law or violations of any of the other Acts administered by the Department. If a consumer believes that any person or entity may have violated--or is currently violating--any of our securities laws, the Department would like to be so informed. The Department also needs to know about any possible violations of proper sales practices, or professional standards of conduct, by any individual or entity registered or licensed in Illinois. Consumers who promptly inform the Department of any problems may help prevent others from being victimized.

What Information to Include  |   How to submit your Complaint  |   What Will Happen Next  |   Forms and Publications
Securities Complaint Form

What Information to Include

The more information the Department can obtain from you, the better we can investigate your complaint. Critical information includes the names, addresses, phone numbers and any other background information you may have of any person or entity mentioned in your complaint. You should include as many details as possible on the transaction or activity that you believe violates the law. You should provide the Department with copies (not originals, please) of any promotional materials, account statements or other documents provided to you by the person or entity mentioned in your complaint.

If your complaint involves the Internet or a commercial access provider, the Department will need to know where the activity is occurring, such as a web site address, ETP site, newsgroup, or other area.

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How to Submit Your Complaint

There are two ways to submit a complaint:

1. The Securities Complaint Form is available to fill out online: Securities Complaint Form or
2. You may download and print out the form that fits your complaint.
• Investor Statement  PDF for Securities complaints
• Consumer Statement  PDF for Business Opportunities complaints
• Client Statement  PDF for Business Broker complaints
• Borrower Statement  PDF for Loan Broker complaints

Complete the form then mail it to the appropriate address below:

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What Will Happen Next

Once we receive your Investor Statement, a Department Investigator will contact you to acknowledge receipt of your material and to advise you of any additional information we may need.

Be assured that your complaint will receive careful consideration. It is, however, the Department's policy to conduct its inquiries/investigations on a confidential basis to preserve the integrity of its investigative process and to protect persons against whom unfounded charges may be made or where the Department determines that enforcement action is not warranted.

Subject to the Freedom of Information Act, the Department does not disclose the existence (or non-existence) of any pending investigation; any information gathered pursuant to an investigation is not disclosed unless made a matter of public record in administrative hearing proceedings, administrative actions filed by the Department or as mandated by court order.

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DISCLAIMER
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.