Securities and Investment Complaints

How to submit a complaint to DFI's Division of Securities.

How Do I submit a Complaint?

  1. Attempt to resolve the dispute with the individual or company. We have found that complaints can normally be resolved if the consumer contacts the company directly. If you have not already done so, please contact the office manager and attempt to resolve the problem.
  2. If direct contact is unsuccessful, or you are dissatisfied with the results, you may file a complaint with the Division of Securities using one of the four methods below.

    File a complaint online.

    File a complaint via mail or fax

    Contact the Division of Securities by calling (360) 902-8760 or 1-877-RING DFI (1-877-746-4334).
  3. Email us: investorcomplaints@dfi.wa.gov.

Frequently Asked Questions

What can the Division of Securities do for you?

We will acknowledge your complaint by telephone or mail and assign your complaint to an employee of the Securities Division for evaluation.

We may make inquiries and/or conduct an investigation if a violation of one of the acts we regulate has occurred.

Even if we do not open an investigation, we may be able to help you resolve your complaint or advise you of other resources available to you.

What limitations are there?

The Division of Securities cannot:

  • give you specific legal advice.
  • refer you to a particular attorney.
  • recommend or endorse any firm, individual, or investment.
  • directly recover money for you.

You may wish to employ an attorney to assist you in the recovery of your investment.

What will the Division of Securities do with my complaint?

When we receive your complaint, we will acknowledge it by mail, telephone, or e-mail. A member of the Enforcement staff will evaluate your complaint and may contact you or others for more information. If it appears a violation has occurred, the Division may open an investigation. Investigations vary in length of time, depending upon the complexity and size of the case. If the Securities Division concludes a violation has occurred, it may bring administrative or civil action against the violator. If criminal prosecution is warranted, the case may be referred to the appropriate jurisdiction for action.

Can the Division of Securities be required to disclose my complaint?

The Washington Public Records Act (PRA), RCW 42.56, may require disclosure of a complaint after a file is closed. If you choose, you may keep your identifying information exempt from disclosure under the PRA by stating in your complaint that "I request that may information identifying me not be disclosed if requested pursuant to the Public Records Act" or by checking the relevant box on the complaint form. Please note that this exemption does not necessarily restrict the release of your identifying information pursuant to a court order, subpoena, or during litigation.