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Consumer Services Guide (CSG)

Managing Money 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.
 
 

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  • Arkansas - Securities Division
    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…
    (added October 2006)
  • Arizona - Corporation Commission
    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…
    (added October 2006)
  • District of Columbia - Department of Insurance and Securities Regulation
    The Consumer Services Division is responsible for gathering and responding to consumer inquiries regarding insurance company or producer activities. 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…
    (added October 2006)
  • 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…
    (added October 2006)
  • 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…
    (added October 2006)
  • Ohio - 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…
    (added October 2006)
  • Utah - Department of Financial Institutions (DFI)
    The Department is responsible for chartering, regulating, supervising and examining state-chartered financial institutions. DFI also has jurisdiction over residential mortgage and consumer lending.
    (added October 2006)
  • Arkansas - Department of Insurance
    The primary mission of the Arkansas Insurance Department (AID) is consumer protection through insurer solvency and market conduct regulation, and fraud prosecution and deterrence. The Consumer Services Division is designed to assist consumers with questions or problems relating to insurance coverage. This includes working to educate consumers on how to shop for insurance products and how to recognize the value of insurance.
    (added October 2006)
  • Arizona - Department of Insurance
    The Consumer Services Division is responsible for gathering and responding to consumer inquiries regarding insurance company or producer activities.
    (added October 2006)
  • 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…
    (added October 2006)
  • South Dakota - 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…
    (added October 2006)
  • 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.…
    (added October 2006)
  • Wisconsin - Department of Financial Institutions
    The State Departments of Banking regulate and supervise state-chartered banks. Many of them handle or refer problems and complaints about other types of financial institutions as well. Some also answer general questions about banking and consumer credit.
    (added October 2006)
  • 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…
    (added October 2006)
  • Michigan - Office of Financial and Insurance 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…
    (added October 2006)
  • California - Department of Insurance
    The Consumer Services Division is responsible for gathering and responding to consumer inquiries regarding insurance company or producer activities.
    (added October 2006)
  • West Virginia - Division of Banking
    The State Departments of Banking regulate and supervise state-chartered banks. Many of them handle or refer problems and complaints about other types of financial institutions as well. Some also answer general questions about banking and consumer credit.
    (added October 2006)
  • Virginia - Division of Securities and Retail Franchising, State Corporation Commission
    The Virginia Division of Securities and Retail Franchising is responsible for the regulation of securities, broker-dealers, broker-dealer agents, investment advisers and their representatives. It is also responsible for the registration of franchises and trademarks in Virginia. The Division answers inquiries, provides investor education programs, handles complaints, performs audits, and conducts investigations regarding any code violation or misconduct relating to Securities and Retail Franchising.
    (added October 2006)
  • Wyoming - Division of Banking
    The State Departments of Banking regulate and supervise state-chartered banks. Many of them handle or refer problems and complaints about other types of financial institutions as well. Some also answer general questions about banking and consumer credit.
    (added October 2006)
  • 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.
    (added October 2006)
  • 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.
    (added October 2006)
  • Washington - Department of Financial Institutions, 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…
    (added October 2006)
  • Iowa - Securities Bureau Enforcement Section
    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…
    (added October 2006)
  • Wyoming - Securities Division
    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…
    (added October 2006)
  • New Mexico - Regulation and Licensing Department Securities Division
    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…
    (added October 2006)
 
 
 

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