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File a Complaint

The NC Securities Division examines investor complaints about securities industry professionals and securities offerings. To file a complaint, use our Online Complaint Form or print the PDF Complaint Form to submit it by fax (919-814-5596) or mail.

Please include as much information as possible in your complaint. Send copies; do not include originals of any documents you submit with your complaint. Documents submitted will not be returned. We will look into all alleged violations, but we cannot represent an investor in a claim for monetary damages. Any action the Division takes is to regulate and enforce NC securities and investment adviser law on behalf of all North Carolinians.

Anonymous complaints may not be investigated as this makes it impossible for us to request additional information or clarification from you.

What We Can Do For You
  • Evaluate your complaint and take enforcement action if we determine that there has been a violation of the statutes or regulations that we administer
  • Refer your complaint to the appropriate government agency if not within our legal authority
  • Tell you whether a particular firm is registered in North Carolina as a dealer or investment adviser
  • Tell you whether a particular person is registered in North Carolina as a salesman or investment adviser representative
  • Tell you whether a particular security was registered before it was offered or sold in North Carolina

What We Cannot Do For You
  • We cannot bring a lawsuit in your name to recover money you may have invested
  • We cannot cancel or void a contract or agreement to which you are a party
  • We cannot order a person to give you your money or your securities back
  • We cannot give you legal or financial advice, nor can we represent you as your attorney.

NC and federal securities laws do permit you to bring a civil lawsuit to recover your money or the amount of damages you have suffered because of someone’s violation of those

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