Securities

1. Filing a Complaint:
   • The North Carolina Securities Division investigates investor complaints related to securities industry professionals and offerings.
   • To file a complaint, you can either use the Online Complaint Form or print the PDF Complaint Form and submit it by fax or mail.
   • Include as much information as possible in your complaint, but send copies rather than originals of any documents.
   • Anonymous complaints may not be investigated due to the inability to request additional information.
2. Division’s Actions:
   • The Division evaluates complaints and takes enforcement action if violations of statutes or regulations are found.
   • If a complaint falls outside their legal authority, they refer it to the appropriate government agency.
   • They provide information on whether a firm or person is registered in North Carolina as a dealer or investment adviser.
   • They verify whether a specific security was registered before being offered or sold in North Carolina.
3. Limitations:
   • The Division cannot bring a lawsuit on your behalf to recover invested money.
   • They cannot cancel contracts or order return of funds or securities.
   • Legal or financial advice is not provided, nor do they act as your attorney.
   • You can pursue civil lawsuits under state and federal securities laws; consider seeking an attorney with securities law expertise.

If you need assistance finding an attorney, the NC Bar Association’s Lawyer Referral Service can help.