File A Complaint

To file a complaint about the offer and sale of securities or about your securities dealer or investment adviser, please complete this form and send it to the State Securities Board (SSB).

Or

You may file a complaint by sending an e-mail with the following information:

  • Your name and address:
  • Your home and business telephone numbers(s);
  • The names, addresses, and phone numbers of the parties (persons and/or firms) you are complaining about;
  • The amounts and dates of the transactions involved; and
  • A summary of the facts regarding the transactions.

The information you submit regarding your complaint is confidential and may not be disclosed by the agency except under court order or as otherwise specified in Section 28 of the Texas Securities Act.

The purpose of an SSB investigation is to determine whether violations of the Texas Securities Act or Board rules have occurred. If so, we may take any of the following enforcement actions: administrative action, such as a cease and desist order or an administrative fine; a civil lawsuit for an injunction or receivership; or referral to the appropriate authorities for criminal prosecution.

SSB enforcement actions typically do not result in financial benefit to individual investors. If you are seeking return of your funds, you should consult private legal counsel at the earliest opportunity.

Arbitration/Dispute Resolution