How to File a Complaint

To file a complaint about the offer and sale of securities or about your securities dealer or investment adviser, please complete this form and send the completed form to the Securities Division.​

Mississippi Secretary of State Securities Division
P. O. Box 136
Jackson, MS 39205-0136

or

Fax: 601-359-9070

or

E-mail Securities

The information you submit regarding your complaint is confidential and may not be disclosed by the agency but the Division has discretion to disclose this information for the purpose of an administrative hearing taken against the violator. In addition, in most cases, the Securities Division cannot share with you information it collects as part of an investigation resulting from your complaint.

What we can do

  • We are empowered to bring administrative action if there are violations of the laws we administer, and in appropriate cases, to refer matters to the proper authorities for further investigation and/or criminal prosecution.
  • Under certain circumstances, administrative action may include partial or full restitution to investors who have suffered a monetary loss.

What we cannot do

  • The Securities Divison is not a law enforcement agency and cannot bring criminal charges against violators of the securities laws.
  • The Securities Division cannot give you specific legal advice or refer you to a particular attorney or investment firm.
  • The Securities Division does not have authority to provide legal or financial advice to investors, or to represent them in connection with their personal rights. Any actions taken by the Division with respect to alleged violations of the Mississippi Securities Act would not necessarily result in any monetary benefit to you.
  • If you have suffered a monetary loss, you may wish to consult with an attorney to discuss your legal rights and remedies under the Mississippi Securities Act or other statutes. If you do not have a private attorney, the Mississippi Bar has an online directory.
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