Washington State Department of Financial Institutions

Investment Online Complaint Form

Before you begin, please review instructions on how to file a complaint with the Division of Securities.

To file a complaint, please provide:

* Denotes a required field

Public Records Disclosure Act

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 checking this box. Please note that this exemption does not necessarily restrict the release of your identifying information pursuant to a court order, subpoena, or during litigation.

Your Information

* Name
* Birthdate
* Mailing Address
Address Continued
* City
* State
* Zip Code
* Phone Number
* Best Time to Call
Fax Number
Email Address
Occupation

Your Complaint is Against the Following Business

* Business Name
Address
Address Continued
* City
* State
Zip Code
Telephone
Who You Dealt With
Business Email
Business Website
 
Names, addresses, phone numbers of any
other businesses, or persons involved in your
complaint

Additional Information

* How and when did you first hear about this investment?
How much money did you invest?
What dates?
* What kind of investment(s) did you buy?
How did you pay for your investment(s)?
(e.g. personal or cashier's check, cash, wire transfer, etc.)
What method did you use to deliver the payment?
(e.g. in person, mail, fed ex, etc.)
How and when did the person first contact you?
Please list any courier or postal service used by the person to contact you and when that contact occurred.
Have you complained to the person or firm? If yes, please describe. Was your complaint in writing, or did you speak to someone? If in writing, please send a copy of the complaint. If you spoke with a person, who was it and when did it happen?
Have you contacted any other regulator or taken any legal action? If yes, please describe.

Explain Your Complaint in Detail

* Please provide a detailed explanation of the facts that led to your complaint. Start at the beginning and continue through to the present. Be sure to include AT LEAST the following information: How, when, and from whom did you first hear about this investment? What oral or written information did you receive about the investment? Did you later find that any of this information was untrue?

Other Investors

Do you know anyone else who purchased the investment that is the subject of this complaint? If so, please list their names, addresses, phone numbers.

Jurisdiction of the Securities Division

The jurisdiction of the Securities Division generally extends only to issues connected with the initial offer and sale of securities, franchises, business opportunities, and commodities. We may not have jurisdiction if your complaint involves later actions by management that you think are unfair to investors, or in actions by management such as the failure to hold shareholder meetings or provide annual reports. However, you may have civil remedies available to address your complaint, so please consult your attorney. Also, the Division does not have the authority to represent you in civil litigation, which means you must hire your own attorney to recover your investment funds.

Declaration

By filling in my name and the date below, I declare that the information contained in this complaint is true and accurate and the information may be used to further investigate the complaint.

* Name:
* Date:

DFI