Updated: October 06 2006
Kentucky - Department of Financial Institutions
Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks, mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. The officials enforce these laws and regulations. State securities agencies are responsible also for preventing fraud and abuse in the sale of all but the largest securities offerings. If you have a question or complaint about an investment you have made or are about to make, call the company or bank involved. If your complaint or question is not resolved, call the appropriate state securities agency.
Primary Address
Kentucky - Department of Financial Institutions
Commissioner
Frankfort, KY 40601-3868
Phone: (502) 573-3390
Web: http://www.dfi.state.ky.us
Region(s) Served
- State