Complaint Form 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, business corporations and other entities for possible violations of the registration, licensing, or anti-fraud provisions of the laws administered by the Office of the Commissioner. We are empowered to bring administrative actions or civil law suits to stop these violations, render sanctions, and in appropriate cases, to refer matters for criminal prosecution. It is in the public interest to report alleged violations of the securities laws and franchise laws and we encourage you to do so.

What we cannot do

We cannot act as a court of law. In some instances restitution is made to investors as a result of this agency’s action, but those instances are not the norm, and YOU SHOULD NOT RELY ON US TO GET YOUR MONEY BACK FOR YOU. You should consult your own attorney in this regard.

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

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 #
  4. To report fraud call 58-SCAMS or 1-877-HI-SCAMS (toll free).

  5. 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