The Department of Compliance and Securities Division provides you with alerts and updates for information on how to protect your investments from scams and fraudulent dealings.

The Department of Compliance and Securities Division provides you with alerts and updates for information on how to protect your investments from scams and fraudulent dealings.

The Department of Compliance and Securities Division warns investors to cautiously monitor their trading online accounts in the growing number of account hacking and attacks in which perpetrator have broken into customer records at online brokerages in a variety of locations and made unauthorized transactions worth millions of dollars.

Recognizing the value and impact of investor education, the Department of Compliance and Securities Division provides valuable investment learning content that can be used to improve the level of financial literacy of the public.

Before deciding to do business with a company, check to verify its business profile and operational background.

If you think a company has treated you unfairly in a business transaction, you may file a complaint online.