Investor Assistance
Do you have questions about the company or person(s) you're considering investing with?- Contact the Securities Division at 1-877-RING DFI (746-4334) to see if securities offered or sold by a company are registered or appropriately filed with the Division.
- Search the
Securities Division orders to see if there is a Securities Division order against a company,
escrow agent, or individual.
- To see if a company is registered, use the Secretary of State's
Corporations Lookup feature.
- To check for information on a business, request a
Company Report from the Better Business Bureau.
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To find information about your stockbroker, broker-dealer,
or securities salesperson, visit the
Financial Industry
Regulatory Authority (FINRA) website.
- To find information about your investment adviser firm, search the IAPD/CRD public disclosure database.
For More Information:
Contact Bruce Johnson:
- To check if an Investment Adviser Firm, or an Investment Adviser representative, is registered, or if they have any disciplinary actions; or
- To check if a Broker-Dealer Firm, or a securities salesperson is registered, or if they have any disciplinary actions.
Contact Cheryl Pearson:
- To check if a Business Opportunity or Franchise is registered or to ask questions about a Business Opportunity or Franchise.
Contact Sara Moriarty:
-
To check if an investment or security is registered.
Saving and Investing Information:
What You Should Know Before Investing in Mortgage Paper Securities. Answers to frequently asked questions. New!
DFI cautions investors about online trading.
The mutual fund "Cost Calculator," available free on the SEC web site, takes the math and the mystery out of questions like: Am I better off buying a no-load fund with yearly expenses of 1.75%, or a fund with a front-end sales charge of 3.5% and yearly expenses of 0.90%?"
Here are some great links to sites that include savings calculators to help you plan for retirement.
The U.S. Securities and Exchange Commission (SEC) and state securities regulators combat the fraudulent sale of promissory notes to investors.
The Federal Bureau of Investigation (FBI) and the National White Collar Crime Center (NW3C) have joined forces to combat internet fraud. Individuals who believe they have been victims of internet fraud should visit the Internet Crime Complaint Center.
Jump$tart Washington is a newly formed non-profit organization that seeks to promote the personal financial literacy of Washingtonians. The coalition, comprised of individuals, non-profit and governmental agencies and the corporate sector, are committed to addressing the need of financial literacy.
Director of Securities reminds insurance agents in Washington of state securities laws governing the offer and sale of viatical settlement contracts to investors. Under such contracts, terminally ill people can sell their life insurance policy for cash that can be used for current expenses. Get more information on Viaticals.
Review the 10 most common investment traps according to the Department of Financial Institutions Securities Division.
Looking for information about Old Stock Certificates? Find out more here.
More consumer information may be found on these sites:
NASAA Investor Education
IPT Investor Education
FINRA Investor Education
SEC Investor Education
FTC Consumer Education
Other sites for Investors
