Registering a Complaint
FINRA Inquiry Screen
The Securities Division initiates proceedings to prevent and detect violations of the South Carolina Uniform Securities Act. The Division can issue subpoenas, take testimony and require written statements. If a violation is found, the Division may levy various administrative sanctions including issuing orders to stop violations of the law; denying, suspending or revoking licenses; and censuring, suspending or barring individuals from participating in the securities industry. Where criminal activity is suspected, referral will be made to local, state or federal law enforcement agencies.
If you have information indicating that a firm or individual may have offered for sale or sold unregistered securities, acted as an unregistered securities dealer or agent, or engaged in any fraud in connection with the sale of securities, you may submit this information on this site's Complaint Form. This information may also be submitted by letter to the Securities Division by writing to PO Box 11549, Columbia, SC 29211-1549.
If writing a letter, please include:
- Your name and address
- Your home and/or business telephone number(s)
- The name, addresses and phone numbers of the parties complained of
- The dates and amounts involved in the transactions
- A summary of events pertaining to the transactions.