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Securities Division

Filing a Complaint with the Division

 

Printable Complaint Form (PDF)

Online Submittable Complaint Form

 

When you determine that a situation you are in warrants filing a complaint with the Division, you have several ways to send us that complaint. You may click on the link above to open the downloadable Complaint Form and simply print it out and fill it in by hand or you may fill in the form on your computer and print it out. Either way, once you have filled in the form, mail it to the Enforcement Section at the address on the form. Include copies of any supporting documents you wish to include. You also have the option to email the downloaded form to us at securities.3@tn.gov. After we receive your complaint, it will be assigned to an investigator, and after a preliminary review, you will be contacted. Any action we take on your complaint will be to enforce the Securities Act and Rules, not to recover investor funds.


So, what happens next?


1. Complete and sign the enclosed complaint form and return it to the Securities Division. Annuities are not securities under Tennessee law. Complaints involving annuities should be filed with the Insurance Division.
2. Attach copies of any account statements, confirmations, or sales literature to your complaint before you mail it.
3. You will be mailed a letter acknowledging the receipt of your complaint and given the name of the investigator handling your complaint.
4. Your complaint will be reviewed by an investigator to determine whether the complaint provides probable cause to believe that there has been a violation of the Tennessee Securities Act of 1980 or the Tennessee Securities Rules.
5. You will be contacted by the investigator if your complaint requires further information or further action.
6. You will be notified when your complaint is closed and given the reason for the closure.


Important Reminders:


You have civil remedies under the Tennessee Securities Act of 1980; however, these remedies are governed by statutes of limitations that may prevent you from recovering your losses if you do not act in a timely manner. You will need to consult an attorney for further advice.
Any action the Securities Division takes on your complaint will be to enforce the Securities Act and Rules, not to recover investor funds. The Division does not legally represent individual interests and cannot compel anyone to return your money.