Consumer Services Guide (CSG)

Consumer Services Guide (CSG) Edition

The Consumer Services Guide is searchable directory of resources which can help you with consumer problems and questions. There are multiple editions of the 'Guide', some which deal with specific issues such as housing or credit. The full directory, the Consumer Service Guide Edition, provides access to all the resources collected by Consumer Action.
 
 

Records Found: 28

    Investor Protection


  • Arkansas - State Bank Department
    The State Bank Department was created by Act 60 of 1913. The Department is charged with regulating the safety and soundness of state chartered, bank holding companies, commercial banks, industrial loan institutions, trust companies and Arkansas Capital Corporation, for which it serves as primary regulator, in order to assure public confidence in these institutions. These banks and other entities hold assets of over $33 billion.

  • Commodity Futures Trading Commission
    Accepts online reports of suspicious activites or transactions involving the trading of commodity futures contracts or commodity options. Visit http://www.cftc.gov/ConsumerProtection/ReparationsProgram/index.htm for consumers filing a complaint with their Reparations Program.

  • Customer Assistance Group, (DOT)
    The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises all national banks. It also supervises the federal branches and agencies of foreign banks. Headquartered in Washington, D.C., the OCC has four district offices plus an office in London to supervise the international activities of national banks. The OCC’s nationwide staff of examiners conducts on-site reviews of national banks and provides sustained…

  • Delaware - Department of Justice Division of Securities
    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…

  • Department of the Treasury (DOTT)
    The United States Treasury Department is entrusted with a broad range of duties and functions. In addition to monetary functions such as budgets, taxes, and currency production and circulation, Treasury also oversees critical functions in enforcement, economic policy development, and international treaty negotiation, just to name a few.

  • Financial Industry Regulatory Authority
    The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,750 brokerage firms, about 167,000 branch offices and approximately 634,000 registered securities representatives. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated…

  • Indiana - Securities Division, Office of the Secretary of State
    The Secretary of State’s office oversees Indiana’s securities industry as well as the activities of mortgage brokers, collection agencies, franchisors and continuing care retirement centers. It is the state agency responsible for effective investor protection and efficient capital formation in the State of Indiana. The Secretary of State’s office seeks to protect Hoosier investors and consumers by bringing enforcement actions against companies and individuals accused…

  • Maine - Office of Securities
    The Office of Securities protects Maine investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

  • Massachusetts - Securities Division
    The primary mission of the Massachusetts Securities Division is investor protection. Consistent with that mission, the division works to ensure a free and competitive securities market in Massachusetts, thereby increasing investor confidence, encouraging the formation of capital, and supporting the creation of new jobs in Massachusetts.

  • Minnesota - Department of Commerce
    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…

  • Mississippi - Secretary of State's Office, Business Regulation and Enforcement
    The Regulation and Enforcement Division of the Secretary of State’s Office serves a variety of business-related interests. The Division registers and regulates scrap metal dealers and processors, the pre-need funeral industry, and perpetual care cemeteries. We examine businesses subject to our jurisdiction (funeral homes, cemeteries, scrap metal dealers) and issue fines and suspensions for violations of state law and regulations. Regulation and Enforcement also implements…

  • Missouri - Securities Division
    The Secretary of State, through the Securities Division, is responsible for protecting Missouri investors from fraud and for ensuring that firms and individuals that sell securities comply with the securities laws in the state. The division enforces the Missouri Uniform Securities Act, also known as the "Blue Sky Law."

  • Montana - Commissioner of Securities and Insurance
    The Commissioner of Securities and Insurance’s office is a criminal justice agency charged with protecting Montana’s consumers through insurance and securities regulation and also through informing the public about insurance and securities issues.

  • National Credit Union Administration (NCUA)
    Insures member shares in all federal credit unions and state credit unions that apply for and meet the insurance standards. Handles complaints against member agencies. Call one of their regional offices first to resolve the complaint.

  • Nevada - Securities Division, Office of the Secretary of State
    The Secretary of State Securities Division strives to ensure the integrity of the securities marketplace through investigative actions as well as the registration and/or oversight of securities, securities dealers and brokers, investment advisors and their representatives; to enhance legitimate capital formation; and to minimize the burden and expense of regulatory compliance by legitimate business.

  • New Hampshire - Bureau of Securities Regulation
    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…

  • New York - Investor Protection Bureau of NY State Attorney General
    The Investor Protection Bureau is charged with enforcing the New York State securities law, commonly known as the Martin Act. The Martin Act gives the Attorney General broad law-enforcement powers to conduct public and private investigations of suspected fraud in the offer, sale or purchase of securities. Where appropriate, the Attorney General may commence civil and criminal prosecutions under the Martin Act to protect investors.…

  • Nightly Business Report
    Public television’s Nightly Business Report’s website offers transcripts of breaking business and economic news, financial market coverage, mutual fund reports, CEO interviews, commentaries by noted economists, and investor education.

  • North Carolina - Secretary of State
    The mission of the Secretary of State of North Carolina is to serve and protect citizens, the business community and governmental agencies by facilitating business activities, by providing accurate and timely information and by preserving documents and records.

  • North Dakota - Securities Commissioner
    The North Dakota Securities Department regulates the offer and sale of securities and franchises in the State of North Dakota, and protects the investing public by enforcing compliance with our state’s laws. The Department promotes public awareness of securities laws to prevent violations and to prevent investment fraud. The Department provides investor education programs for all ages to improve the level of financial literacy in…

  • Office of Investor Education and Advocacy (SEC)
    The SEC's Office of Investor Education and Assistance provides a variety of services to address the problems and questions you may face as an investor. The office cannot advise the public on what investments to make, but can tell people how to invest wisely and avoid fraud. To request public documents, visit http://www.sec.gov/answers/publicdocs.htm

  • Ohio - Division of Financial Institution
    The Division of Financial Institutions regulates Ohio's State-chartered financial institutions and consumer finance companies. The Division charters depository institutions, licenses non-depository financial services, and conducts on-site examinations. All examinations, supervision, and regulatory activities are performed by Division staff who specialize in the operations of each of the specific industries. The Division's Office of Consumer Affairs works to provide education to Ohioans regarding borrowing and related…

  • Oklahoma - Department of Securities
    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…

  • Pennsylvania Department of Banking and Securities
    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…

  • South Carolina - Attorney Generals Office Securities Section
    The Securities Division of the Attorney General's office exists to ensure as fair a marketplace as possible in the trading of securities by protecting South Carolina investors from investment fraud, serving as a source of information for investors, regulating professionals in the securities industry and by providing a mechanism for registering complaints.

 
 
 

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