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How to File a Complaint

PROCEDURE FOR FILING A COMPLAINT
(Please read)

The Securities Division protects the public against fraud in the offers and sales of securities; unlicensed or dishonest broker- dealers or investment advisory firms or their employees; and, unregistered or fraudulent securities.  If you feel you have been a victim of, or have information concerning, an unlawful investment program, please complete the attached complaint form and send it to us.

SOME TIPS ON PREPARING A WRITTEN COMPLAINT

  1. If we can't clearly understand your complaint or inquiry, it will be more difficult for us to help you. Please take a minute to organize your information so that the details are clearly and completely stated.

  2. Before you begin, it might help you to make a list of the things you want to say. 

  3. Try to present the events in the order in which they happened, using dates whenever possible.

  4. Please TYPE or WRITE legibly. 

  5. If you are asked to submit additional information, please enclose legible "copies" of documents such as contracts, prospectuses, agreements, canceled checks (front and back), advertisements, letters, or other documents that may be material to your complaint. You should not send original documents. If your copies are very numerous, please send only the most important ones.

  6. Fill out the complaint form as completely as possible and return it to the Division.

 

You may submit your Complaint in any of the following methods:

1.
 
 
 

Call the Securities Division at 303-894-2320 and request that a Complaint Form be mailed to you.

 

2.
 
 
 

Fill out and Print the Complaint Form pdf file and either mail it to the Securities Division or attach it to an email and send it to: dora_securitieswebsite@state.co.us.

 

3.
 
 
 
 
 
 

You may obtain a COMPLAINT FORM from the:   Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
303-894-2320
email: dora_securitieswebsite@state.co.us

 

 

 

 

 

 

 


 

 

 

 


 

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1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax