File a Complaint

If you believe you are the victim of securities fraud, you may file a complaint with the Utah Division of Securities.  The complaint form can be submitted by mail, fax, or email.  If you have any questions about filing a complaint, please contact the Division.

  1. It is important for you to complete all sections of the form so your complaint can be fully evaluated.  If a particular section does not apply to your situation, simply write "N/A" (not applicable) in the space.
  2. By law, complaints concerning a violation of Utah's securities laws are not public information.
  3. The Division of Securities can be contacted by phone at (801) 530-6600.  Office hours are Monday through Friday (except legal holidays) from 8:00 a.m. to 5:00 p.m., Mountain Standard Time.
  4. You can contact the Division of Securities by email at securities@utah.gov.
  5. Please be advised that the Division of Securities will not act as your attorney for purposes of settling, recovering monetary loss, or performing any other dispute resolution between you and any person whom you feel may have violated Utah's securities laws. Any person who has been damaged or lost money as a victim should immediately contact his or her personal attorney about the possibility of resolving the dispute through negotiation or legal process.
  6. Further, the Division of Securities cannot perform investigations for the benefit of your personal litigation.  However, your complaint is critical in that it informs the Division of Securities of a possible violation of the securities laws.
  7. Once your complaint is reviewed, you will be notified regarding what action the Division of Securities can take.

FAQs About Complaints