> Investors   > Issuers of Securities   > Broker-Dealers and Agents   

> Investment Adviser Representatives and Investment advisers

Investors

How do I select a good broker? Are they reputable?

Investigate before you invest. Although we cannot recommend one company over another, we will provide you with information as to whether an individual or a company is licensed in the state of Kansas and the disciplinary history, if any, of the individual or company. Visit our Investor Education section for a list of tip sheets that will help you learn what questions to ask as you search for brokerage firms and investment advisers. After you have selected a few potential options, contact the Office of the Kansas Securities Commissioner and ask for a background report.

Can you help with the transfer of my retirement plan or 401K?

If the delay is due to problems with a broker-dealer, contact the Kansas Securities Commissioner at 1-800-232-9580 or (785) 296-3307 to make a complaint. If the delay is due to the (former) employer or another party, contact the Department of Labor at 816-426-5131.

If I have a complaint or question about my variable annuity whom do I contact?

Kansas Insurance Department in Topeka, Kansas: 1-800-432-2484
Financial Industry Regulatory Authority (FINRA)

For information purposes, you may send a copy of any complaint or correspondence to the Kansas Securities Commissioner.

Have I contacted the right agency?

If your question concerns: Securities and investing – Yes! We can answer your questions and concerns regarding the registration status of securities, broker-dealers, and investment advisers.

Certificates of Deposit, Bank trust departments or Trust Companies, Mortgage brokers, Consumer Credit, or loans – contact the Kansas Banking Commission at 785-296-2266 or go to http://www.osbckansas.org/.

Consumer products and services – contact the Kansas Attorney General's Consumer Protection Division at 785-296-2215 or go to http://www.ksag.org/home.

Insurance products and services – contact the Kansas Insurance Department at 800-432-2484 or go to http://www.ksinsurance.org/.

Social Security – contact the Social Security Administration at 800-772-1213.

I think I have been defrauded in an investment. Can you help me?

If someone has violated the law, we want to know. The Office of the Securities Commissioner can initiate an investigation and when appropriate, impose sanctions for violations of the Kansas Securities laws. Investors may consider filing for arbitration or civil litigation. Contact your attorney for more information about these remedies. You may also wish to contact the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association or the Public Investors Arbitration Bar Association for more information.

Do I have grounds for a complaint? If so, what should I do next?

Typically, market losses on an investment are not grounds for a complaint. However, if you perceive that something dishonest or unethical has happened with your account, you should take these steps:

I found an old stock certificate, how do I find out if it still has any value?

I lost my stock certificate – what do I do?

Contact the broker-dealer from whom you purchased the stock.

There has been a delay in receiving my stock certificate. What can I do?

Contact your broker-dealer or issuer. Today, many stock investments are held in "street name" at the broker-dealer. Your purchase confirmation and account statements are your evidence of ownership (along with the broker-dealer's records). If you still wish to have a stock certificate, contact your broker-dealer or issuer.