Contact your Securities Regulator

If you wish to file a complaint against your investment professional, or review additional resources regarding your investment loss, you may contact your state’s securities regulator at the contact information provided below.

Please note that your complaint will likely be accessible to your investment professional and, thus, it may be used against you in the event of arbitration or litigation. It is advisable to speak with an experienced securities attorney regarding the overall strategy of your dispute before submitting a complaint.

SEC: https://denebleo.sec.gov/TCRExternal/index.xhtml.

FINRA: http://www.finra.org/Investors/ProtectYourself/p118628

Alabama
Securities Commission
401 Adams Avenue
Ste. 280
P.O. Box 304700
Montgomery, AL 36130-4700
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)

Alaska
Dept. of Commerce, Community and
Economic Development
Div. of Banking, Securities & Corporations
150 Third Street, Ste. 217
P.O. Box 110807
Juneau, AK 99811-0807
(907) 465-2521
(907) 465-2549 (Fax)

Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
(602) 542-4242
(602) 388-1335 (Fax)

Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
(501) 324-9260
(501) 324-9268 (Fax)

California
Department of Corporations
1515 K Street
Ste. 200
Sacramento, CA 95814-4052
(866) 275-2677
(916) 322-1559 (Fax)

Colorado
Division of Securities
1560 Broadway
Ste. 900
Denver, CO 80202
(303) 894-2320
(303) 861-2126 (Fax)

Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
(860) 240-8230
(860) 240-8295 (Fax)

Delaware
Department of Justice
Division of Securities
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801
(302) 577-8424
(302) 577-6987 (Fax)

District of Columbia
Department of Insurance, Securities and Banking
Securities Bureau
810 First Street, NE
Ste. 701 Washington, DC 20002
(202) 442-7800
(202) 354-1092 (Fax)

Florida
Office of Financial Regulation
200 East Gaines Street
Tallahassee, FL 32399-0372
(850) 410-9500
(850) 410-9748 (Fax)

Georgia
Office of the Secretary of State
Division of Business Services
and Business Regulation
Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334
(404) 656-2881
(404) 656-0513 (Fax)

Hawaii
Department of Commerce &
Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813
(808) 586-2744
(808) 586-2733 (Fax)

Idaho
Department of Finance
800 Park Boulevard
Ste. 200
Boise, ID 83712
(208) 332-8004
(208) 332-8099 (Fax)

Illinois
Office of the Secretary of State
Securities Department
69 West Washington Street
Ste. 1220
Chicago, IL 60602
(312) 793-3384
(312) 793-1202 (Fax)

Indiana
Office of the Secretary of State
Securities Division
302 West Washington
Room E-111
Indianapolis, IN 46204
(317) 232-6681
(317) 233-3675 (Fax)

Iowa
Insurance Division
Securities Bureau
330 E. Maple Street
Des Moines, IA 50319-0066
(515) 281-5705
(515) 281-3059 (Fax)

Kansas
Office of the Securities Commissioner
109 SW 9th Street
Ste. 600
Topeka, KS 66612
(785) 296-3307
(785) 296-6872 (Fax)

Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Ste. 200
Frankfort, KY 40601
(502) 573-3390
(800) 223-2579
(502) 573-2182 (Fax)

Louisiana
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024
(225) 925-4512

Maine
Dept. of Professional & Financial Regulation
Office of Securities
121 State House Station
Augusta, ME 04333-0121
(207) 624-8551
(207) 624-8590 (Fax)

Maryland
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
(410) 576-6360
(410) 576-6532 (Fax)

Massachusetts
Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108
(617) 727-3548
(617) 248-0177 (Fax)

Michigan
Department of Licensing and Regulatory Affairs
Corporation, Securities and Commercial Licensing Bureau
2501 Woodlake Circle, Okemos, MI 48864
PO Box 30018
Lansing, MI 48909
(517)241-9202

Minnesota
Department of Commerce
85 East 7th Place
Ste. 500
Saint Paul, MN 55101
(651) 296-4026
(651) 296-4328 (Fax)

Mississippi
Office of the Secretary of State
Securities and Charities Division
700 North Street, PO Box 136
Jackson, MS 39202
(601) 359-1334
(601) 359-9070 (Fax)

Missouri
Office of the Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101
(573) 751-4136
(573) 526-3124 (Fax)

Montana
Commissioner of Securities & Insurance
Montana State Auditor’s Office
Securities Department
840 Helena Avenue
Helena, MT 59601
(406) 444-2040
(406) 444-5558 (Fax)

Nebraska
Nebraska Department of Banking & Finance
Commerce Court
1230 “O” Street, Ste. 400
PO Box 95006
Lincoln, NE 68509-5006
(402) 471-3445

Nevada
Secretary of State
Securities Division
555 East Washington Avenue
Ste. 5200
Las Vegas, NV 89101
(702) 486-2440
(702) 486-2452 (Fax)

New Hampshire
Bureau of Securities Regulation
Department of State
107 North Main Street, # 204
Concord, NH 03301-4989
(603) 271-1463
(603) 271-7933 (Fax)

New Jersey
Department of Law & Public Safety
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102
(973) 504-3600
(973) 504-3601 (Fax)

New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
(505) 476-4580
(505) 984-0617 (Fax)

New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271
(212) 416-8222
(212) 416-8136 (Fax)

North Carolina
Department of the Secretary of State
Securities Division
2 South Salisbury Street
Raleigh, NC 27601
(919) 733-3924
(919) 807-2183 (Fax)

North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
(701) 328-2910
(701) 328-2946 (Fax)

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215-6131
(614) 644-7381
(614) 466-3316 (Fax)

Oklahoma
Securities Commissioner
1st National Center, Ste. 860
120 N. Robinson
Oklahoma City, OK 73102
(405) 280-7700
(405) 280-7742 (Fax)

Oregon
Department of Consumer
& Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Room 410
Salem, OR 97301-3881
(503) 378-4140
(503) 947-7862 (Fax)

Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Ste. 1300
Harrisburg, PA 17101-2290
(717) 787-2665
(717) 783-5125 (Fax)

Rhode Island
Department of Business Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 69-1
Cranston, RI 02920-4407
(401) 462-9527
(401) 462-9645 (Fax)

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building, Ste. 501
1000 Assembly Street

PO Box 11549
Columbia, SC 29211-1549
(803) 734-9916
(803) 734-3677 (Fax)

South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-3185
(605) 773-4823
(605) 773-5953 (Fax)

Tennessee
Department of Commerce & Insurance
Securities Division
Davy Crockett Tower, Ste. 680
500 James Robertson Parkway
Nashville, TN 37243-0575
(615) 741-2947
(615) 532-8375 (Fax)

Texas
State Securities Board
208 East 10th Street
5th Floor, PO Box 13167
Austin, TX 78701
(512) 305-8300
(512) 305-8310 (Fax)

Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd Floor

PO Box 146760
Salt Lake City, UT 84114-6760
(801) 530-6600
(801) 530-6980 (Fax)

Vermont
Department of Financial Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101
(802) 828-3420
(802) 828-2896 (Fax)

Virginia
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
9th Floor

PO Box 1197
Richmond, VA 23218
(804) 371-9051
(804) 371-9911 (Fax)

Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SW

PO Box 9033
Tumwater, WA 98507-9033
(360) 902-8760
(360) 902-0524 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
(304) 558-2257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial Institutions
Division of Securities
201 W. Washington Avenue
Ste. 300

PO Box 1768
Madison, WI 53701-1768
(608) 266-1064
(608) 264-7979 (Fax)

Wyoming
Secretary of State
Compliance Division
State Capitol Building
200 W. 24th Street
Cheyenne, WY 82002-0020
(307) 777-7370
(307) 777-7640 (Fax)

U.S. Virgin Islands
Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802
(340) 774-7166

Puerto Rico
Commissioner of Financial Institutions
PO Box 11855
San Juan, PR 00910-3855
(787) 723-3131
(787) 723-4225 (Fax)