Washington State Department of Financial Institutions

File a Complaint with Securities

How do I submit a complaint?

First, attempt to resolve the dispute with the individual or company. We have found that complaints can normally be resolved if the consumer contacts the individual or company directly.

Second, if your dispute cannot be resolved, you may file a complaint with the Division of Securities using one of four methods below:

  1. File an investment complaint online

  2. File an investment complaint via mail or fax

  3. Call us: 360-902-8760 or 1-877-RING DFI (1-877-746-4334).

  4. Email us your complaint

Frequently Asked Questions

What can the Division of Securities do for you?

What limitations are there?

The Division of Securities cannot:

You may wish to employ an attorney to assist you in the recovery of your investment.

What will the Division of Securities do with my complaint?

When we receive your complaint, we will acknowledge it by mail, telephone, or e-mail.  A member of the Enforcement staff will evaluate your complaint and may contact you or others for more information. If it appears a violation has occurred, the Division may open an investigation.  Investigations vary in length of time, depending upon the complexity and size of the case.  If the Securities Division concludes a violation has occurred, it may bring administrative or civil action against the violator. If criminal prosecution is warranted, the case may be referred to the appropriate jurisdiction for action.

Can the Division of Securities be required to disclose my complaint?

The Washington Public Records Act (PRA), RCW 42.56, may require disclosure of a complaint after a file is closed. If you choose, you may keep your identifying information exempt from disclosure under the PRA by stating in your complaint that "I request that may information identifying me not be disclosed if requested pursuant to the Public Records Act" or by checking the relevant box on the complaint form. Please note that this exemption does not necessarily restrict the release of your identifying information pursuant to a court order, subpoena, or during litigation.

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