Securities
The SEC Company Filings Search page allows you to search information collected by the SEC by Company or fund name, ticker symbol, Central Index Key (CIK), and more.
Finally, since annuities are regulated as insurance products in North Carolina, consumers should check the registration status of their agent with the North Carolina Department of Insurance.
If you have additional questions about a registration, give us a call at 919-814-5500.
File a Complaint
On the File a Complaint page, you find downloadable and fillable forms for filing a securities complaint. Here, you find both the online Securities Complaint Form and the PDF Securities Complaint Form.
The North Carolina 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.
North Carolina Securities Division
Enforcement Section
P.O. Box 29622
Raleigh, NC 27626-0622
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 North Carolina 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