Submitted by lushenejj on Mon, 2024-06-10 09:37 Fill out the following information to file a complaint with the Washington State Department of Financial Institutions (DFI). Printer-Friendly General Questions/Information I Understand DFI Cannot Provide Legal Advice or Act as My Lawyer * By submitting this complaint, DFI cannot answer legal questions or give legal advice to you and cannot act as your personal lawyer. I Understand What is this complaint about? * Please select the category or topic that best describes your complaint. -- Select an option --Investments, Franchises, Securities Brokers, or Investment AdvisersBank or Trust CompanyCredit Union How Did You Hear About DFI? * Let us know how you discovered our complaint process (website, organization, friend, etc.) Filing on Behalf of Another Person? * If you are submitting this complaint on behalf of someone else, please provide a signed letter from that person indicating permission to communicate with you. Yes No Your Information Your name * Mailing Address * City * State * -- Select State --AlabamaAlaskaAmerican SamoaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaGuamHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarshall IslandsMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaNorthern Marianas IslandsOhioOklahomaOregonPalauPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming Zip * Phone Number * Email Address * Your Age For our statistics, please share your age. Your Preferred Language If you need translation or interpreter assistance, please call 877-746-4334. Complaint Information Company (or Individual) You’re Complaining About * Have you complained directly to the person or business? * Yes No Have you contacted any other regulator? * Yes No If yes, who? Do you have any documentation about your complaint? * Yes No If yes, please describe Describe your problem or complaint * Transaction Date(s) & Amount(s) List any relevant dates and associated amounts (e.g., 01/01/2025 - $500). Who did you talk to? Company Address Company City Company State -- Select State --AlabamaAlaskaAmerican SamoaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaGuamHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarshall IslandsMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaNorthern Marianas IslandsOhioOklahomaOregonPalauPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming Company Zip Company Phone Number Company Email/Website Whistleblower Investments, Securities Brokers or Investment Adviser Complaints Only: Whistleblower Award and Protection Act Please select this option if you wish to be considered a whistleblower under the Whistleblower Award and Protection Act, chapter 21.40 RCW. The identity of a whistleblower is protected from public disclosure pursuant to RCW 42.56.400(6). An individual who wishes to make an anonymous whistleblower complaint must be represented by counsel. Individuals that make whistleblower complaints or that report potential securities law violations to their employer are protected from retaliation pursuant to the Act. Public Records Disclosure Prevent my identifying information from being shared in a Public Records Act request. Public Records Disclosure The Washington Public Records Act (PRA), RCW 42.56, may require disclosure of this complaint in response to a public records request. If you choose, you may prevent your identifying information from being shared under the PRA. Please note that this does not necessarily restrict the release of your identifying information pursuant to a court order, subpoena, or during litigation. If you opt to not share your information in a PRA request, DFI may still need to share your complaint – including identifying information – with the business or person in your complaint during any investigation or if we refer your complaint to another agency.
