Enforcement Actions and Orders

The Securities Enforcement Branch investigates and enforces against violations of state securities laws and franchise laws. The Branch initiates administrative actions, enters into agreements with, and issues orders against individuals and entities each year. These actions, agreements, and orders result in public records which are available to the public. You may also contact our office to inquire about any individual or entity you are or may be dealing with to find out their securities or franchise registration status and any related disciplinary history. For general inquiries, you can reach the branch at 1-844-808-DCCA (3222), press 2, then press 3. To report fraud, call 58-SCAMS or 1-877-HI-SCAMS (toll free). Please note that ongoing matters cannot be disclosed to the public.

For information on Enforcement Actions, please call the office at 1-844-808-DCCA (3222), press 2, then press 3.