Enforcement Actions
When there is reason to believe that a company or individual has violated Washington state financial services laws or rules, DFI will begin an investigation.
Sometimes these investigations result in enforcement actions (also known as "administrative" actions). Enforcement actions taken by DFI are posted to the website. See below for more information.
Note: At present time, the Division of Credit Unions and the Division of Banks do not publish their enforcement actions on the website. You may contact these divisions directly for more information.
Division of Securities Administrative Actions
The Division of Securities may take action against Washington state companies or individuals who sell or provide:
- securities investments
- franchises
- business opportunities
- off-exchange commodities
- escrow services (agents and officers) - from September 1, 2003 until July 1, 2006
View Administrative Actions: View administrative actions taken after January 1, 1999 by the Division of Securities.
Actions Search Engine: You can also search for administrative actions taken by the Division of Securities.
Division of Consumer Services Administrative Actions
The Division of Consumer Services may take action against the following:
- consumer loan companies
- mortgage brokers
- check cashers and check sellers (sometimes known as payday lenders)
- money service providers.
- escrow services (agents and officers) - from August 1997 until September 1, 2003 and from July 1, 2006 until present
View Administrative Actions: View administrative actions taken from 1997 until present by the Division of Consumer Services.
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