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The Division of
Securities (Division) regulates the securities industry by
protecting the investing public from illegal securities activity
while facilitating the efficient creation of capital in the
State. The Division is responsible for ensuring compliance with
Chapter 517, Florida Statutes, the Florida Securities and
Investor Protection Act. The anti-fraud provisions of the Act
make it unlawful for a person to engage in any fraudulent
conduct when rendering investment advice or in connection with
the offer, sale or purchase of any investment or security. We
regulate entities and individuals conducting securities business
in, to or from the State of Florida, including the following:
The Division focuses
primarily on protecting individual investors by investigating
complaints and abusive sales practices, and raising consumer
awareness. The Division only has authority to issue
administrative actions and seek injunctive relief against
violators of Florida Statutes under its jurisdiction. The
Division cannot act as an advocate on your behalf.
What We Will Do
Our
review will include a thorough review and analysis of your
complaint, information and documentation provided by you and the
firm, and written or oral statements of the parties involved. We
may conduct a follow-up examination at the firm to obtain
additional documents and make a determination as to whether
further steps (legal or otherwise) are warranted.
Once the facts of the case are established and the related documentation is
analyzed, you will be notified of the Division’s findings and
whether any violation of the Florida statutes or rules has
occurred. Please note that after careful consideration of
the information provided by you, the firm, and other sources, we
may be unable to substantiate a violation of Florida Statutes.
As a regulatory agency, the Division does not adjudicate civil matters or
disputes of fact between parties. Although we may not be able
to render any factual or legal determination at that time, all
documentation will be retained for future reference should any
additional details and/or information concerning your complaint
be obtained.
Procedures For Filing A
Complaint
To ensure that that your inquiry is worked as quickly as possible, the
following information should also
be provided upon sending
the complaint:
·
A Summary of Complaint detailing its
nature, name of the firm and individual(s) involved, and what
was said or done that resulted in a complaint being filed.
· Copies
of documents including contracts/agreements, account statements,
disclosure documents, cancelled checks or money wires, sales
materials, and advertisements.
·
Correspondence with the parties involved.
Note: Pursuant to ss.
119.07(1) and 517.2015, F.S. - information received by the
Office regarding consumer complaints is confidential.
How Do You Want to File Your Complaint?
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