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Protect Yourself

If you think you or someone you care for may be the victim of a financial scam, please contact the Division of Banking and Securities at 907-269-8140 or email DBS Enforcement Email

Do Your Research

The most important tool we have to protect ourselves is the internet—the same resource that can put us at risk of financial fraud can also be our greatest protector. Information is power; bad actors are not the only ones with access to that power.

Before you engage in any financial agreements, use the following tools to verify the information, the entity or an individual.

The National Multistate Licensing System (NMLS) Consumer Access

The NMLS was created in 2008 to address predatory lending practices and improve consumer protections. Regulatory agencies use it to maintain state licensing programs. License types that can be verified through NMLS are:

The North American Securities Administrators Association (NASAA)

State and federal laws require broker-dealer agents, investment adviser representatives, and broker-dealer and investment adviser firms to be registered or licensed. Canadian securities laws require anyone trading securities or in the business of advising clients on securities, as well as the company they work for, to be registered with their provincial or territorial securities commission unless a registration exemption applies. Before you turn over any money to a broker-dealer or investment adviser, you should verify that their license is active and they are in good standing.

NASAA releases an annual enforcement report that summarizes the top products and schemes that are seen across all jurisdictions. The 2024 report can be found here: NASAA Enforcment Report and Top Threats for 2024.

The Better Business Bureau

The BBB helps people find businesses they can trust. They also host a scam tracker website that provides educational resources to prevent being scammed as well as a place where the public can report a scam or look up a scam. BBB Scam Tracker.

Consumer Financial Protection Bureau (CFPB)

The Consumer Financial Protection Bureau is a U.S. government agency dedicated to ensuring individuals are treated fairly by banks, lenders, and other financial institutions.

Financial Industry Regulatory Authority (FINRA)

BrokerCheck (FINRA) is a free tool for researching the background and experience of financial brokers, advisers, and firms. This website also provides printable resources.

Federal Trade Commission (FTC)

The FTC’s mission is to protect the public from deceptive or unfair business practices and from unfair methods of competition through law enforcement, advocacy, research, and education.

FTC Resources

Other helpful resources