Washington State Department of Financial Institutions

Division of Securities
Administrative Orders

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's Division of Securities are posted to the website.

See also: DFI's Division of Consumer Services enforcement actions.

Note: While the information is updated regularly, it may not be current or error free. This information is provided only as a guide.  The result of your query may not reflect a change in name, status, law or other requirement.  See our legal disclaimer.

1) View Administrative Orders by Year

See Administrative Actions for Escrow enforcement actions commenced before September 1, 2003 and after July 1, 2006.

2) Or: Search the Administrative Orders

You may search by company name, respondent name, order number, date, word or phrase. The search engine will display a weighted list of documents most closely matching your search terms.

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Questions about the Orders

If you have a question about a order, feel free to contact us at 1.877.RING DFI (746-4334).

About the Orders

Under the Securities Act, RCW 21.20, the Franchise Act, RCW 19.100, the Business Opportunity Act, RCW 19.110, and the Commodity Contract Act, RCW 21.30, the Securities Division may enter a Statement of Charges or Summary Order to Cease and Desist when it has reason to believe that the law has been or is being violated, it appears that a proceeding is in the public interest and, in the case of a summary order, it appears that an emergency exists. Respondents have the right to request an administrative hearing or, alternatively, to submit a written statement in response to the matters alleged or tentatively found and ordered. Statements of Charges or Summary Orders appearing on this website may be subject to an administrative hearing or further proceedings under the Administrative Procedures Act, RCW 34.05.