Securities

ENFORCEMENT COMPLAINT CENTER

The Securities Department's Enforcement Division investigates all consumer complaints and/or inquiries about individuals, corporations or other business entities for possible violations of the registration or anti-fraud provisions of the Illinois Securities Law, the Illinois Business Opportunities Sales Law, the Illinois Business Brokers Act and the Illinois Loan Brokers Act. These complaints may come from the general public or be referred from other regulatory agencies. The Law allows the Enforcement Division to initiate administrative hearings to obtain Orders of Prohibition, Cease and Desist Orders, Orders for Registration Revocation, Suspension or Denial and imposition of administrative fines.

Following a complete investigation of suspected violations, the Enforcement Division may also refer its findings for civil or criminal prosecution. These prosecutions are usually brought by the Illinois Attorney General's Office, local State's Attorneys, or the Office of the United States Attorney (for one of the three districts in Illinois). Staff of the Enforcement Division may provide special assistance to these prosecutors.

Examples of Investor Complaints: Improper Practices, Scams, Schemes and Cons

Potential Internet Fraud

How to File a Complaint with the Illinois Securities Department

Arbitration as an Option

Audit and Compliance

Investigation/Enforcement Forms

Additional Contacts

Consumer Complaint Form

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.