Securities

Complaint Forms

One of the missions of the Securities Section is to investigate potential violations of the Alaska Securities Act.  The violations can range from the sale of unregistered securities, to the investment services being provided by an unregistered firm or individual, or the illegal or unethical conduct by a registered firm or individual.  If you have a complaint regarding investment activities or products, please use the Investment Complaint Form (Form 08-115A) for submitting your complaint to the division.  For ANCSA shareholders who have complaints regarding proxy solicitation materials under Alaska Statute AS 45.55.139, please submit your complaint using the ANCSA Corporation Complaint Form (Form 08-115B).

If you have any questions, please feel free to contact the division at (907) 465-2521.