File a Complaint - Securities
The Division of Securities welcomes any information or inquiries concerning suspected violations of the Kentucky Securities Act, Kentucky Revised Statutes (KRS) Chapter 292. Anyone who wants to file a complaint, report potential fraud or receive additional information regarding a securities entity or individual regulated by the Office of Financial Institutions (OFI) Division of Securities may contact OFI either by mail, telephone, fax or e-mail. Consumer complaints are handled by Securities Enforcement Branch Manager Kyle Trimble, who can be reached at the following:
E-mail:
kyle.trimble@ky.gov
Phone (toll free):
800-223-2579, ext. 281
Mail:
Office of Financial Institutions
Attention: Kyle Trimble
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Fax:
502-573-2182
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Submitting a Formal Complaint |
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Please complete a complaint form and submit it by mail or e-mail at the addresses noted on the form, to the attention of Kyle Trimble. 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 OFI at the numbers above.
Complaint Form - Securities [DOC 67K]
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.
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To Find a Securities Regulator for Another State |
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Disclaimer |
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“It is important to remember the Kentucky Office of Financial Institutions (OFI) does not act as the complainant’s attorney. We also do 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) OFI may not have the authority to obtain the relief a complainant is seeking. In that case, OFI will advise the complainant about other ways to pursue the complaint, such through consulting a private attorney and/or initiating a court proceeding.”
Office of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
Phone: 502-573-3390
Fax: 502-573-0086
E-mail: kfi@ky.gov
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