File a Complaint

How to file a complaint with the N.H. Bureau of Securities Regulation

The Bureau staff receives numerous complaints each year from concerned investors. Many of these complaints lead to thorough investigations of the individuals or entities involved. Investigations sometimes lead to enforcement actions by the Bureau where administrative hearings may be necessary to remedy violations of the New Hampshire Securities Act.

While the investing public is the single best source of information regarding questionable business practices, as an administrative agency, the Bureau has limited authority. To fully understand the Bureau's role, please carefully read the following instructions on how to file a complaint. 


Don’t forget to include copies of relevant documents described in the complaint form instructions, and mail it to the N.H. Bureau of Securities Regulation, State House Room 204, 107 North Main Street,  Concord, N.H.  03301.

Depending on the nature of the issue, you may want to contact the Securities and Exchange Commission (SEC)  or Financial Industry  Regulator Authority (FINRA) and file a complaint with them.  

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Securities regulation in N.H. is governed by the N.H. Uniform Securities Act  R.S.A. 421-B.
The entire Chapter may be viewed here.