Investing in your future is important at any age. The Department of Financial Institutions (DFI) works to keep your money safe by registering and examining brokerage firms, investment advisers and agents and the securities they offer. DFI also takes complaints and investigates suspected wrong-doing on the part of the industries we regulate. We want to give you tools to help you make choices that are right for you.
Before investing, find out if the product and the person selling it are licensed/registered with DFI, and see if there have been any complaints or orders filed. Call the Securities Division at 800-223-2579 or visit the online search services in the Quick Links at right.
Senior Scam Jam Events
Find out how to protect yourself from investment fraud by becoming a wise and safe investor. DFI is co-hosting Senior Scam Jam
events across Kentucky to help senior citizens guard against various types of fraud. However, investors of all ages would benefit from learning the tricks to watch out for and tips to protect yourself.
Kentucky Saves Week and America Saves Week
The last week of February each year, is Kentucky Saves Week. But it's never too late to commit to save money. Enroll
now to become a "Kentucky Saver." Make this personal pledge to save money for your own future benefit and receive free newsletter with tips on saving money and reducing debt.
How to File a Complaint or Seek Damages
If you believe you have been wronged or that securities laws have been violated, there are two separate actions you can take:
1. You can file a complaint
about potentially fraudulent activities. Contact DFI to file a complaint, report potential fraud or receive additional information regarding a securities entity or individual regulated by DFI.
2. To recover damages like money or securities, you may consider an arbitration or mediation case. Investors can get information about the arbitration and mediation processes through a Financial Institution Regulatory Authority (FINRA) Webcast video
that describes what it's like to be a party in an arbitration or mediation case. The webcast depicts an arbitration and a mediation in progress so that viewers can see what the processes are like.
DFI is responsible for protecting Kentucky investors from financial predators and investment fraud through enforcement of the state’s securities laws.
The information provided on this site and in DFI publications is designed to provide a basic understanding of investment concepts. It is not intended to give investment advice, and it will not tell you what to invest in or who to invest with.