Washington State Department of Financial Institutions

Public Records Index
Investigations

How to obtain information about closed investigations from the Washington State Department of Financial Institutions (DFI).

About These Records

Closed investigations against licensed entities.

(Note: Only closed investigations are disclosable. Investigations may result in various types of enforcement actions – See Enforcement Actions above. Credit Unions and Banks are exempt from disclosure)

Need Assistance?

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.

Record Type How To Obtain
Closed Investigations For
  • Investment Advisers
  • Securities Broker/Dealers
  • Securities salespersons
  • Franchises
  • Franchise brokers
  • Business Opportunities
  • Commodity Investments
  • Securities Issuers
Submit Public Records Request (PDF)*
To request information about Securities investigations, submit a public records request to DFI's Division of Securities.
Closed Investigations For
  • Escrow Agents
  • Consumer Loan Companies
  • Check Cashers/Sellers (Payday Lenders)
  • Mortgage Brokers
Submit Public Records Request (PDF)*
To request escrow agents, consumer loan companies, check cashers/sellers, or mortgage brokers investigation information, 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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