Securities

Report Financial Exploitation

This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers. Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

CHECK BEFORE YOU INVEST!

Don’t become a fraud victim. Contact us before you purchase a security or do business with an investment professional.

News and Information

Custodian of Record

Scott Jolly
Custodian

Record Requests

For open records requests, please mail or fax your request to:

Mail:
ATTN: Securities Division
8660 United Plaza Boulevard, 2nd Floor
Baton Rouge, LA 70809-7024

Fax: (225) 925-4525

Securities Complaints

All complaints must be submitted in writing. To file a complaint, please complete the complaint form and send to OFI by mail or fax.

Mail:
ATTN: Securities Division
8660 United Plaza Boulevard, 2nd Floor
Baton Rouge, LA 70809-7024

Fax:
(225) 925-4525

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