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Frequently Asked Questions
 
View List of FAQs

View List of Frequently Asked Questions!
 
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Q:  How can I find out about a case or investigation?  
 
If you know the telephone number or email of the Securities Division's attorney or investigator working on the matter, you can contact that person directly.  However, please be aware that due to a confidentiality statute, staff members of the Securities Division are limited in the amount of information they can provide to the public.

 

If you do not know the name of the staff member working on an investigation or case, you can contact the Investigator on Duty at (602) 542-0662, or send an email message regarding your case inquiry.  

 

If a public case has already been filed, you can find the administrative complaint on our

Enforcement Actions pageClick on the date of the action to see administrative complaint. To access the eDocket file containing all of the public documents filed in a case, click on the Respondent's name. EDocket also contains a schedule of all public events in a case such as prehearings, hearings and Commission open meetings. 

 

Proposed orders will be considered by the Commission at a scheduled open meeting.  If an order you are interested in is scheduled to be heard, you can watch the Open Meeting on your computer.

 

If a final order has been entered in the case, you can find it in on our Enforcement Orders page. 

 


 The information provided on this website is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel.  The Securities Division provides this information to give you an overview of the topics discussed.   You should not rely on the accuracy of this information, but should carefully review all applicable statutes and regulations with the assistance of legal counsel.