Upon receipt a member of our staff will begin a review of your complaint as soon as possible depending on the circumstances of the complaint and resources available, and we will be in contact with you as soon as possible. You should be aware that any inquiry that results from your complaint will be done on a confidential basis. This is done to protect the integrity of the investigation and to protect the personal privacy of persons with respect to whom unfounded charges may be made.
The Securities Division does not have the authority to provide you legal advice, legal opinions or act as your private attorney. Therefore, you may wish to contact a private attorney to discuss your legal rights and remedies. If your complaint involves a firm that is registered with the Securities and Exchange Commission and/or is a member of the Financial Industry Regulatory Authority (FINRA) you may wish to contact those agencies directly. If you reside in a state other than Colorado you may also wish to contact your own state securities agency.
You must enter a response to all questions marked with an *.