Washington State Department of Financial Institutions

Public Records Index
Enforcement Actions

How to request and obtain enforcement actions taken by the Washington State Department of Financial Institutions (DFI) against companies and individuals.

About These Records

Statements of charges, final orders, cease and desist orders issued by DFI.

Record Type How To Obtain
Enforcement Against
  • Investment Advisers
  • Securities Broker/Dealers
  • Securities Salespersons
  • Franchises
  • Franchise brokers
  • Business Opportunities
  • Commodity Investments
  • Securities Issuers
Enforcement Actions Available Online
Many of DFI's Division of Securities enforcement actions are available online.

Or

Submit A Public Records Request (PDF)*
If you can't find the enforcement action you are looking for online, submit a public records request to DFI's Division of Securities.
Enforcement Against
  • Escrow Agents & Officers
  • Consumer Loan Companies
  • Check Cashers/Sellers (Payday Lenders)
  • Mortgage Brokers
  • Loan Originators
Enforcement Actions Available Online
Many of DFI's Division of Consumer Services enforcement actions are available online.

Or

Submit A Public Records Request (PDF)*
If you can't find the enforcement action you are looking for online, submit a public records request to DFI's Division of Consumer Services.

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Can't Find What You Are Looking For?

  1. Fill out a public records request form. Each division at DFI maintains its own public records request form.
  2. Mail the completed form to the address shown in the upper left hand corner of the form.
  3. DFI will respond to your request within 5 days. DFI may ask for additional information or provide you with an estimate of when the records will be made available to you.

Request A Form Be Sent Via Mail

If you would like a public records request form to be sent to you via mail, please call us at (360) 902-8700 or toll free at 1-877-RING DFI (746-4334)


Contact Us

If you need assistance or have a question, feel free to call us at 1-877-RING DFI (746-4334).

Our office hours are 8 am - 5 pm (PST), Monday - Friday.

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