|
|
 |
 |
 |
 |
 |
 |
|
|
State Securities Administrators |
 |
 |
 |
 |
|
|
|
Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks, mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. The officials and agencies listed below enforce these laws and regulations. Many of these offices can provide you with information to help you make informed investment decisions.
State securities agencies are responsible also for preventing fraud and abuse in the sale of all but the largest securities offerings.
If you have a question or complaint about an investment you have made or are about to make, call the company or bank involved. If your complaint or question is not resolved, call the appropriate state securities agency and check the listings of Selected Federal Agencies for further information and assistance.
Alabama
Joseph P. Borg, Director
Securities Commission
770 Washington Avenue
Suite 570
Montgomery,AL 36130-4700
334-242-2984
Toll free in AL: 1-800-222-1253
Fax: 334-242-0240
E-mail: alseccom@dsmd.dsmd.state.al.us
Alaska
Vince Usera, Senior Examiner
Department of Commerce and Economic Development
P.O. Box 110807
150 Third St., Room 217
Juneau,AK 99801
907-465-2521
Fax: 907-465-2549
Web site: www.dced.state.ak.us/bsc/bsc.htm
Arizona
Frank Marley III, Attorney -- Coordinator of Investor Education
Arizona Coporation Commission
Securities Division
1300 West Washington
3rd Floor
Phoenix,AZ 85040
602-542-4242
Fax: 602-594-7470
E-mail: accsec@ccsd.cc.state.az.us
Web site: www.ccsd.cc.state.az.us
Arkansas
Securities Division
Heritage West Building
201 East Markham, 3rd Floor
Little Rock,AR 72201-1692
501-324-9260
Toll free: 1-800-981-4429
Fax: 501-324-9268
E-mail: securities@mail.state.ar.us
California
Demetrios A. Boutris, California Corporations Commissioner
Department of Corporations
1515 K Street, Suite 200
Sacramento,CA 95814-4052
916-445-7205
Web site: www.corp.ca.gov
Colorado
Fred Joseph, Securities Commissioner
Colorado Division of Securities
1580 Lincoln Street, Suite 420
Denver,CO 80203-1506
303-894-2320
TDD: 303-894-7880
Fax: 303-861-2126
Web site: www.dora.state.co.us/securities
Connecticut
John Burke, Banking Commissioner
Department of Banking
260 Constitution Plaza
Hartford,CT 06103-1800
860-240-8299
Toll free: 1-800-831-7225
Fax: 860-240-8178
Web site: www.state.ct.us/dob
Delaware
James Ropp, Securities Commissioner
Department of Justice
Division of Securities
State Office Building
820 North French Street, 5th Floor
Wilmington,DE 19801
302-577-8424
Fax: 302-577-6987
Web site: www.state.de.us/securities
District of Columbia
Karen Archer, Dicector - Office of Consumer Services
D.C. Public Service Commission
Office of Consumer Services
717 14th Street NW
Suite 200
Washington,DC 20005
202-626-9161
Florida
Robert F. Milligan, Comptroller
Division of Securities
101 East Gaines St.
Tallahassee,FL 32399-0350
850-410-9805
Toll free in FL: 1-800-372-3792
Fax: 850-681-2428
Web site: www.dbf.state.fl.us
Georgia
Cathy Cox, Secretary of State
Divison of Securities and Business Regulation
Office of the Secretary of State
802 West Tower
Two Martin Luther King, Jr. Drive
Atlanta,GA 30334
404-656-3920
Toll free: 888-733-7427
Fax: 404-657-8410
E-mail: securities@sos.state.ga.us
Web site: www.sos.state.ga.us
Hawaii
Ryan Ushijima, Commissioner of Securities
Department of Commerce and Consumer Affairs
Business Registration Division
1010 Richards Street
2nd Floor
Honolulu,HI 96813
808-586-2744
Fax: 808-586-2733
E-mail: ryan_s_ushijima@dcca.state.hi.us
Web site: www.hawaii.gov
Idaho
Marilyn Scanlan, Bureau Chief
Securities Bureau
P.O. Box 83720
Boise,ID 83720-0031
208-332-8004
Toll free in ID: 1-888-346-3378
Fax: 208-332-8099
E-mail: mscanlan@fin.state.id.us
Web site: www.state.id.us./finance/dof.htm
Kelly Robison, Bureau Chief
Department of Finance
P.O. Box 83720
Boise,ID 83720-0031
208-332-8002
Fax: 208-332-8098
Web site: www.state.id.us/finance
Illinois
Illinois Secretary of State
Securities Department
520 South Second Street
Suite 200
Springfield,IL 62701
217-782-2256
217-524-0652
Toll free in IL: 1-800-628-7937
Web site: www.sos.state.il.us
Indiana
Bradley W. Skolnik, Securities Commissioner
Securities Division
Office of the Secretary of State
302 West Washington
Room E-111
Indianapolis,IN 46204
317-232-6681
Toll free in IN: 1-800-223-8791
Fax: 317-233-3675
Web site: www.state.in.us/sos
Iowa
Iowa Securities Bureau
Enforcement Section
340 Maple Street
Des Moines,IA 50325
515-281-4441
Toll free: 1-800-351-4665
Fax: 515-281-3059
E-mail: iowasec@max.state.ia.us
Web site: www.iid.state.ia.us/division/securities/default.asp
Kansas
David Brant, Commissioner
Office of the Kansas Securities Commissioner
618 South Kansas Avenue
2nd Floor
Topeka,KS 66603-3804
785-296-3307
Toll free in KS: 1-800-232-9580
Fax: 785-296-6872
E-mail: ksecom@cjnetworks.com
Web site: www.ink.org/public/ksecom
Kentucky
Ella D Robinson, Commissioner
Department of Financial Institutions
1025 Capitol Center Dr. Suite. 200
Frankfort,KY 40601-3868
502-573-3390
Toll free: 1-800-223-2579
Fax: 502-573-8787
Web site: www.dfi.state.ky.us
Louisiana
Harry C. Stansbury, Deputy Commissioner of Securities
Office of Financial Institutions Securities Division
8660 United Plaza Blvd., 2nd Floor
Baton Rouge,LA 70809
225-925-4512
Fax: 225-925-4548
Web site: www.ofi.state.ia.us
Maine
Judith Dorsey, Supervisor of Enforcement
Bureau of Banking
Securities Division
121 State House Station
Augusta,ME 04333-0121
207-624-8551
Toll free in ME only: 1-800-624-8551
TDD/TTY: 207-624-8563
Fax: 207-624-8590
E-mail: judith.a.dorsey.@state.me.us
Web site: www.mainesecuritiesreg.org
Maryland
Melanie S. Lubin, Securities Commissioner
Office of the Attorney General
Securities
200 Saint Paul Place, 20th Floor
Baltimore,MD 21202-2020
410-576-6360
TDD: 410-576-6372
Fax: 410-576-6532
E-mail: securities@oag.state.md.us
Web site: www.securities.oag.state.md.us
Massachusetts
William Francis Galvin, Secretary of the Commonwealth
Securities Division
One Ashburton Place
Room 1701
Boston,MA 02108
617-727-3548
Toll free in MA: 1-800-269-5428
Fax: 617-248-0177
Web site: www.state.ma.us/sec/sct
Michigan
Joseph Webster, Director
Corporation, Securities & Land Development Bureau
P.O. Box 30222
6546 Mercantile Way
Lansing,MI 48909
517-241-6370
Fax: 517-214-6371
E-mail: joseph.l.webster@cis.state.mi.us
Web site: www.cis.state.mi.us/corp/
Minnesota
Steve Minn, Commissioner of Commerce
Department of Commerce
133 East Seventh Street
St. Paul,MN 55101
651-296-4026
Toll free in MN: 1-800-657-3602
TDD: 651-296-2860
Fax: 651-296-4328
Web site: www.commerce.state.mn.us
Mississippi
Leslie Scott, Assistant Secretary of State
MS Secretary of State's Office
Business Services
P.O. Box 136
202 North Congress Street, Suite 500
Jackson,MS 39202
601-359-6371
Toll Free: 1-800-256-3494
Fax: 601-359-2663
E-mail: lscott@sos.state.ms.us
Web site: www.sos.state.ms.us
Missouri
Douglas F. Wilburn, Commissioner of Securities
P.O. Box 1276
Jefferson City,MO 65102
573-751-4136
Toll free in MO: 1-800-721-7996
Fax: 573-526-3124
Web site: www.mose.sos.state.mo.us
Montana
Mark O'Keefe, State Auditor & Securities Commissioner
Securities Division
Office of the State Auditor
840 Helena Avenue
Helena,MT 59601
406-444-2040
Toll free in MT: 1-800-332-6148
Fax: 406-444-3497
Web site: www.state.mt.us/sao
Nebraska
Jack Herstein, Assistant Director
Department of Banking & Finance
Bureau of Securities
P.O. Box 95006
Suite 311 The Atrium 1200 N St.
Lincoln,NE 68509-5006
402-471-3445
E-mail: jackh@bkg.state.ne.us
Web site: www.ndbf.org
Nevada
Jackie Reese, Chief Compliance Enforcement Investigator
Securities Division
Office of the Secretary of State
555 East Washington Avenue
Suite 5200
Las Vegas,NV 89101
702-486-2440
Toll free nationwide: 1-800-758-6440
Fax: 702-486-2452
E-mail: jackie@excite.com
Web site: www.sos.state.nv.us
Scott Balder, Criminal Investigator III
Nevada Secretary of State
Securities Enforcement
1105 Terminal Way, Ste 211
Reno,NV 89502
775-688-1855
Toll free: 1-800-758-6440
Fax: 775-688-1858
Web site: www.sos.state.nv.us
New Hampshire
Peter C. Hildreth, Director of Securities
Bureau of Securities Regulation
Department of State
State House, Room 204
Concord,NH 03301-4989
603-271-1463
Fax: 603-271-7933
New Jersey
Franklin Widmann, Bureau Chief
Department of Law and Public Safety
Division of Consumer Affairs, Bureau of Securities
P.O. Box 47029 (07101)
153 Halsey Street, 6th Floor
Newark,NJ 07102
973-504-3600
Fax: 973-504-3601
Web site: www.state.nj.us/lps/ca/home.htm
New Mexico
William Verant, Acting Director
Regulation & Licensing Department
Securities Division
725 St. Michaels Drive
Santa Fe,NM 87505-7605
505-827-7140 (general information)
Fax: 505-984-0617
Web site: www.rld.state.nm.us
New York
Eric Dinallo, Bureau Chief
New York State Department of Law
Bureau of Investor Protection and Securities
Office of the Attorney General
120 Broadway, 23rd Floor
New York,NY 10271
212-416-8200 (securities, stock and bonds only)
Fax: 212-416-8816
Web site: www.oag.state.ny.us
North Carolina
Elaine F. Marshall, Secretary of State
Securities Division
300 North Salisbury Street
Raleigh,NC 27603-5909
919-733-3924
Toll free: 1-800-688-4507 (investor hotline)
Fax: 919-821-0818
Web site: www.state.nc.us/secstate/
North Dakota
Jacqui Ferderer, Administrative Assistant
North Dakota Securities Commissioner
State Capitol -- 5th Floor
600 East Boulevard Avenue - Dept 414
Bismarck,ND 58505-0510
701-328-2910
Toll free in ND: 1-800-297-5124
Fax: 701-255-3113
E-mail: seccom@state.nd.us
Web site: www.state.nd.us/securities
Ohio
Tom Geyer, Commissioner
Division of Securities
77 South High Street
22nd Floor
Columbus,OH 43215
614-644-7381
Toll free: 1-800-788-1194 (investor protection hotline)
Fax: 614-466-3316
Web site: www.securities.state.oh.us
Oklahoma
Irving L. Faught, Administrator
Department of Securities
First National Center
120 North Robinson, Suite 860
Oklahoma City,OK 73102
405-280-7700
Fax: 405-280-7742
E-mail: ods.general@oklaoss.state.ok.us
Web site: www.securities.state.ok.us
Oregon
Division of Finance and Corporate Securities
Securities Section
350 Winter Street, NE, Suite 410
Salem,OR 97310
503-378-4140 (Corporate Securities Section)
503-378-4387
Fax: 503-947-7862
E-mail: dcbs.fcsmail@state.or.us
Web site: www.cbs.state.or.us/external/dfcs/index.html
Richard Nockleby, Administrator
Division of Finance & Corporate Securities
350 Winter Street, NE
Room 21
Salem,OR 97310
503-378-4387 (Corporate Securities Section)
503-378-4140 (Finance Section)
Fax: 503-947-7862
E-mail: dcbs.dfcsmail@state.or.us
Pennsylvania
Joseph Sheperd, Personnel Director
Pennsylvania Securities Commission
Management Services
Eastgate Office Building 2nd Floor
1010 North 7th Street
Harrisburg,PA 17102-1410
717-783-4689
717-787-8061
Toll free in PA: 1-877-881-6388
Fax: 717-783-5125
E-mail: jsheperd@state.pa.us
Web site: www.psc.state.pa.us
Puerto Rico
Joseph P. O'Neil, Commissioner
Securities Division
Office of the Commissioner of Financial Institutions
Fernandez Juncos Station
PO Box 11855
San Juan,PR 00910-3855
787-723-3131
Fax: 787-723-4042
Web site: www.cif.gov.pr
Felipe B. Cruz, Asst Commissioner
Regulations Division
Office of the Commissioner of Financial Institutions
Fernandez Juncos Station
PO Box 11855
San Juan,PR 00910-3855
Hotline: 787-723-8403
Fax: 787-723-4225
E-mail: felipec@cif.gov.pr
Web site: www.cif.gov.pr
Rhode Island
Maria D'Alessandro Piccirilli, Associate Director and Superintendent of Securities
Rhode Island Department of Business Regulation
Securities Division
233 Richmond Street
Suite 232
Providence,RI 02903-4232
401-222-3048
TDD: 401-222-2999
Fax: 401-222-5629
E-mail: mpicciri@dbr.state.ri.us
South Carolina
David N. Janson, Deputy of Securities Commissioner
Attorny Generals Office
Securities Section, Rembert C Dennis Office Building
1000 Assembly Street
Columbia,SC 29201
803-734-9916
Fax: 803-734-0032
Web site: www.lpitr.state.sc.us/code/statmast.htm
South Dakota
Gail Sheppick, Director
Division of Securities
118 West Capitol Avenue
Pierre,SD 57501-2013
605-773-4823
Fax: 605-773-5953
Web site: www.state.sd.us/dcr/securities
Tennessee
Daphne D. Smith, Assistant Commissioner
Tennessee Department of Commerce and Insurance
Securities
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville,TN 37243
615-741-2947
615-741-5900
Toll free in TN: 1-800-863-9117
Web site: www.state.tn.us/commerce/
Texas
Denise Voigt Crawford, Securities Commissioner
State Securities Board
P.O. Box 13167
Austin,TX 78711-3167
512-305-8300
Fax: 512-305-8310
Web site: www.ssb.state.tx.us
Utah
S. Anthony Taggart, Director
Utah Department of Commerce
Division of Securities
160 East 300 South 2nd Floor
PO Box 146760
Salt Lake City,UT 84114-6760
801-530-6600
Toll free in UT: 1-800-721-7233
Fax: 801-530-6980
E-mail: security@br.state.ut.us
Web site: www.commerce.state.ut.us
Vermont
Blythe McLaughlin, Deputy Commissioner for Securities
Vermont Department of Banking, Insurance, Securities, & Health Care Administration
Securities Division
89 Main Street
Drawer 20
Montpelier,VT 05620-3101
802-828-3420
Fax: 802-828-2896
Web site: www.state.vt.us/bis
Virginia
Ron Thomas, Director
Division of Securities and Retail Franchising
State Corporation Commission
P.O. Box 1197
Richmond,VA 23218
804-371-9051
Toll free in VA: 1-800-552-7945
TDD: 804-371-9203
Fax: 804-371-9911
Web site: www.state.va.us/scc/division/srf
Washington
Deborah Bortner, Administrator
Department of Financial Institutions
Securities
P.O. Box 9033
Olympia,WA 98507-9033
360-902-8760
TDD: 360-664-8126
Fax: 360-586-5068
Web site: www.wa.gov/dfi/securities
West Virginia
Chester Thompson, Deputy Commissioner of Securities
Securities Division
State Auditor's Office
106 Dee Drive
Charleston,WV 25311
304-558-2257
Toll free: 1-888-509-6567
Fax: 304-558-4211
Web site: www.wvauditor.com
Wisconsin
Patricia Struck, Administrator
Division of Securities
Department of Financial Institutions
P.O. Box 1768
Madison,WI 53702-1768
608-266-3432
Toll free in WI: 1-800-47-CHECK
Fax: 608-256-1259
Web site: www.wdfi.org
Wyoming
Joseph B. Meyer, Secretary of State
Securities Division
State Capitol Building
200 West 24th Street
Cheyenne,WY 82002-0020
307-777-7370
TDD: 307-777-5351
Fax: 307-777-5339
E-mail: securities@state.wy.us
Web site: soswy.state.wy.us |
|
|
|
|
|
Home
