The Illinois Secretary of State's Securities Department registers and regulates the following: Entities offering and selling securities, Broker-Dealers, Investment Advisers, salespersons and representatives of Dealers and Advisers, Loan Brokers, Business Brokers, and those offering Business Opportunities. If you have an inquiry or complaint regarding an investment or an individual who is offering investment opportunities or advice, you may contact the Department at 800-628-7937. The following links also provide information to assist you.

Former Springfield Stockbroker, Insurance Agent
Sentenced to 63 Months in Prison for Defrauding Clients


Questions to ask your broker before investing


Check whether your broker or adviser is registered and has a disciplinary history


File an online complaint with Securities Department


Download FREE Investor Education materials


Fraud Scene Investigator (Interactive Game)

DISCLAIMER
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.