Texas community resource
Investor Complaint Process
Texas State Securities Board
Complaint review for suspected securities-law violations involving registered or unregistered firms and individuals.
How to get help
Complete the investor complaint form and submit it by mail or email with relevant details and supporting materials. Do not send account numbers, Social Security numbers, or other sensitive information in ordinary email; contact the complaint address with general information so staff can provide a secure submission method.
Who this service helps
Investors or others reporting possible securities-law violations. Complaints about registered dealers, agents, investment advisers, or representatives must be submitted by mail or email according to the official form.
Where this service is available
Service area: Statewide Texas securities complaint intake, including investors in the Central Texas counties.
A service area describes where help is offered or who may be served. It is not necessarily the organization’s physical location.
About this service
The State Securities Board reviews complaints to determine whether investigation and possible enforcement action are warranted. Covered matters may involve securities dealers, agents, investment advisers, representatives, fraud, or other possible violations of Texas securities laws.
Other resources that may help
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