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Securities Division

Enforcement Section Mission

 

The Enforcement Section of the Tennessee Securities Division is responsible for the enforcement of the Tennessee Securities Act of 1980 (Act). This Section investigates complaints filed with the Division to determine whether there have been violations of the Act or the Rules promulgated thereunder. Complaints investigated by the Section may result in any of the following actions:

  1. The filing of an administrative action against registered or non-registered parties,
  2. The initiation of an injunctive action in chancery court, and/or
  3. A criminal referral to the attorney general or the appropriate district attorney general.

If you believe that you have been defrauded or have been the victim of a securities law violation, please contact the Enforcement Section for an Investor Complaint Questionnaire. The Section will investigate your complaint to determine whether there have been any violations of the Act or the Rules. The Securities Division cannot represent you or recover funds lost on an investment, but you do have civil remedies under the Act. You should consult your attorney to explore the remedies available to you.

 

Any problem with an investment should be discussed with your agent (broker-dealer representative). If the agent is not responsive or proposes an unsatisfactory resolution, you may file a written complaint with the office manager or the compliance department of the broker-dealer. If the problem remains unresolved and you believe you have a legitimate complaint, contact the Enforcement Section.

 

The Securities Division encourages you to investigate before you invest. Contact the Securities Division's Broker-Dealer and Investment Adviser Registration Section to check on the registration of broker-dealers and agents before you make investments. For further information, please see the resources listed below.

 

Valuable Resources



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