Complaint Form and Instructions

The Office of the Commissioner of Securities is responsible for regulating securities activities and franchising activities in the State of Hawaii. We oversee the firms and individuals who offer or sell securities, offer investment advice and offer or sell franchises to the public.

Before filling out the Complaint Form, please review these instructions. They will help you to understand our functions and better enable us to act on your complaint.

What we can do

We investigate complaints against individuals and businesses for possible violations of state securities and franchise laws. We can take legal action against violators, and in appropriate cases, refer matters to other agencies for criminal prosecution. Please help us stop securities and franchise fraud by reporting fraud to us.

What we cannot do

We cannot give legal or financial advice or act as your attorney.

In some instances, restitution is made to investors as a result of this agency’s actions. But often times investors will need to sue in civil court as a private matter in order to get their money back. You should consult an attorney for private legal matters. We cannot put people in prison: we do not have criminal jurisdiction.

How you can help us

    1. Organize your complaint using these guidelines:
      Tell us HOW you first learned of the investment opportunity or service.
      Tell us WHAT happened. Start from the beginning. Be specific as to what was said and who said it.
      Tell us WHO was present during these conversations or acts.
      Tell us WHEN and WHERE these conversations/acts took place.
      Tell us WHEN and WHERE the money and agreements changed hands.
      Tell us HOW you know the representations were false or HOW you know your money was misused.
      Tell us WHY you decided to take advantage of the investment opportunity or service.
      List the names, addresses and telephone numbers of any others who you believe may have similar complaints.
    2. Enclose copies of documents such as stock certificates, bonds, limited partnership agreements, contracts, prospectuses, confirmations, letters, cancelled checks (front and back), advertisements, paper, notes, and any other documents that may explain your complaint. Do not send originals; we cannot be responsible for their safekeeping.
    3. If you have any questions concerning the complaint form, you may call the Securities Enforcement Branch in Oahu at 586-2740, or on the neighbor islands, toll free, between 7:45 a.m. and 4:30 p.m. as follows:
      Big Island: 974-4000, then enter 62740 and hit #
      Kauai: 274-3141, then enter 62740 and hit #
      Maui: 984-2400, then enter 62740 and hit #
      Molokai & Lanai: 1-800-468-4644, then enter 62740 and hit #To report fraud call 58-SCAMS or 1-877-HI-SCAMS (toll free).
    4. Upon completion of the form, please mail the complaint form along with all copies of any supporting documents to:

      Securities Enforcement Branch
      Business Registration Division
      Department of Commerce and Consumer Affairs
      P. O. Box 40
      Honolulu, Hawaii  96810