The Division of Securities welcomes any information or inquiries concerning suspected violations of the Kentucky Securities Act, Kentucky Revised Statutes (KRS) Chapter 292
. To file a complaint, report potential fraud or receive additional information regarding a securities entity or individual regulated by the Department of Financial Institutions (DFI) Division of Securities, contact DFI either by mail, telephone, fax or email. Consumer complaints are handled by Securities Examiner Jesse Vaughn
, who can be reached by:
Phone (toll free): 800-223-2579, ext. 283
Department of Financial Institutions
Attention: Jesse Vaughn
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Submitting a Formal Complaint
Please complete a complaint form and submit it by mail or email at the address noted on the form, to the attention of Jesse Vaughn. The form is in Microsoft Word format and can be filled out by downloading and typing in the document or by printing the form and filling it out by hand. If you need a format other than Word, or if you need a printed copy mailed to you, contact DFI at the numbers above.
Depending on the circumstances surrounding your complaint, the division may initiate an investigation. If an investigation uncovers facts that indicate a violation of the Securities Act occurred, the division may pursue administrative remedies against the violating party and/or refer the matter to criminal authorities.
To Find a Securities Regulator for Another State
North American Securities Administrators Administration
It is important to remember DFI does not act as the complainant’s attorney. DFI also does not have the power to arbitrate complaints. If the dispute turns on facts that do not involve a supervised entity’s violation of a specific law or regulation (such as a matter concerning a financial institution’s exercise of internal policies or guidelines) DFI may not have the authority to obtain the relief a complainant is seeking. In that case, DFI will advise the complainant about other ways to pursue the complaint, such through consulting a private attorney and/or initiating a court proceeding.