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Frequently Asked Questions

View List of FAQs

View the list of Frequently Asked Questions!

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Q:  What should I do if the Commission has issued an temporary cease and desist order against a company in which I am an investor? 

Carefully review the information contained in the order. We cannot advise you on specific actions that you should take. The purpose for the temporary order is to enforce the state's securities and investment management laws. You need to take this into account as you evaluate whether to stay in or to get out of the investment. 

Contact the Securities Division's Investigator on Duty by telephone at 602-542-0662 or by 
email and ask for the investigator assigned to the case if either of the following applies:

  • You have invested money with an individual or a company named in the temporary order.
  • You know someone who has invested with an individual or company named in the order.
  • You have specific information about the activities of a named individual or company that you believe might assist the Securities Division in evaluating or pursuing the case.

When you call, be prepared to leave a message, including your name and a telephone number. 


  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.