File a Securities Complaint
The Vermont Securities Division strives to protect individual investors by raising consumer awareness and investigating complaints and abusive sales practices. Use this Securities Complaint Form below to submit your complaint by mail or submit your complaint online. Please contact the division with any questions dfr.securitiesinfo@vermont.gov.
Note: No Walk-In Appointments Available at DFR | Walk-in appointments at DFR currently are unavailable. To meet with a Securities Division representative, please contact the Division by email (dfr.securitiesinfo@vermont.gov) or phone (802-828-3420) to schedule an in-person, phone or virtual visit. We appreciate your understanding.
File a Complaint: By Mail • Online
Contact Us for Additional Assistance
Department of Financial Regulation • Securities Division
Attn: Investor Complaints
89 Main Street Montpelier, Vermont 05620-3101
DFR.SecuritiesComplaint@vermont.gov | 802-828-3420 or 877-550-3907
Note: No Walk-In Appointments Available at DFR | Walk-in appointments at DFR currently are unavailable. To meet with a Securities Division representative, please contact the Division by email or phone to schedule an in-person, phone or virtual visit.
What We Can Do
The Department is empowered to bring administrative action when specific laws are violated, and, in appropriate cases, to refer matters to the proper authorities for further investigation and/or criminal prosecution. All complaints are assigned to Securities Division staff for thorough evaluation and analysis. This review includes information and documentation provided by you and the firm, as well as written or oral statements of the parties concerned.
Once the facts of the case are established and the related documentation is analyzed, you will be notified of the Division findings and whether any violation of the Vermont Uniform Securities Act has occurred.
Please Note: after careful consideration of the information provided by you, the firm and other sources, the Department may be unable to substantiate a violation of Vermont statutes.
What We Cannot Do
The Securities Division:
- cannot provide specific legal advice or refer you to a particular attorney or investment firm.
- 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 Securities Division with respect to alleged violations of the Vermont Uniform Securities Act are limited to remedial and enforcement actions seeking to prevent further violations; therefore, an action by the Division 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 Vermont Uniform Securities Act or other statutes. If you do not have a private attorney, the Vermont Bar Association’s Lawyer Referral Service may be able to assist you.
Vermont Bar Association • Lawyer Referral
35-37 Court Street | P.O. Box 100 | Montpelier, VT 05601
800-639-7036 • www.vtbar.org