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Securities Division
Matthew J. Neubert - Director

1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399

This site is provided as a public service for general informational purposes only, and it does not attempt to address any specific business transactions or legal disputes. This service is not intended to be legal advice, and should not be construed as a replacement for competent legal counsel. Although every effort has been made to present the most accurate and current information possible, we cannot and do not warrant that the information on this site is absolutely current and accurate. Inadvertent mistakes can occur, and laws often change.

Alliance for Investor EducationInvestment Adviser Public Disclosure (IAPD)
American Association of Individual InvestorsNASD Investors Resources
American Savings Education CouncilNational Fraud Information Center
Cert. Financial Planner Board of StandardsNational Association of Securities Dealers
Commodity Futures Trading CommissionNorth American Securities Admin. Association
Department Of JusticeNYSE Enforcement Actions
Federal Reserve BoardNew York Stock Exchange
Federal Trade CommissionSecurities Industry Association
Securities Exchange CommissionInvestment Advisor Registration Depository
NASD Enforcement ActionsSecurities Exchange Commission - IARD Info
U.S. Treasury, Bureau of Public DebtNASD Dispute Resolution
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For a list of Arizona Corporations Commission Phone numbers click here