Washington State Department of Financial Institutions

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.


Division of Securities Administrative Actions

The Division of Securities may take action against Washington state companies or individuals who sell or provide:

Securities Administrative Actions:
View administrative actions taken after January 1, 1999 by the Division of Securities.


Division of Consumer Services Administrative Actions

The Division of Consumer Services may take action against the following:

Consumer Services Administrative Actions:
View administrative actions taken from 1997 until present by the Division of Consumer Services.


Division of Banks Administrative Actions

Administrative actions taken by the Division of Banks.

Banks Administrative Actions:
View administrative actions taken by the Division of Banks.


Division of Credit Unions Administrative Actions

Administrative actions taken by the Division of Credit Unions.

Credit Unions Administrative Actions:
View administrative actions taken by the Division of Credit Unions.


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