Securities Complaint
- We cannot represent an investor in a claim for monetary damages. Any action the Division takes is to regulate and enforce NC securities and investment adviser law on behalf of all North Carolinians. Anonymous complaints may pose a difficulty with an investigation as it is impossible for us to request additional information or clarification from you. Investors retain the right to seek civil action for recoveries. The Division encourages investors to consult with a licensed, experienced securities attorney regarding their options. If you do not have an attorney, you may find one using the NC Bar Association’s Lawyer Referral Service at https://www.ncbar.org.