Delaware is under a State of Emergency. Here are answers to frequently asked questions about what this means for you. More Info

Delaware.gov logo

Delaware Department of Justice
Attorney General
Kathy Jennings

Fraud & Consumer Protection Division



Investor Protection Unit


The Director of the Investor Protection Unit has issued an order granting IPU registrants temporary relief from certain registration requirements and deadlines during the COVID-19 outbreak. Read the order here.

 

Phishing Campaign Advisory: This message is to advise you of a new phishing campaign targeting broker-dealers and investment advisers impersonating FINRA executives and using the domain “@broker-finra.org.” This is not a FINRA domain. DO NOT OPEN ANY EMAILS ORIGINATING FROM THIS DOMAIN. The emails request immediate attention to an attachment purportedly relating to the firm (but, at least in some cases, do not actually include the attachment).  Additional information is available in FINRA’s Regulatory Notice 20-12: FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA, which is available here.

About the Unit

The Investor Protection Unit (“IPU”) is a Unit in the Fraud and Consumer Protection Division of the Delaware Department of Justice (Office of the Attorney General). IPU was formerly known as the Delaware Securities Unit. The IPU is responsible for enforcing the provisions of the Delaware Securities Act and the Rules and Regulations Pursuant to the Act. This entails registering investment firms and professionals as well as securities offerings in Delaware, reviewing and investigating complaints from investors, examining investment advisors and broker dealers, pursuing enforcement actions when a violation of the Act has been uncovered, and conducting investor education and outreach.


Contact the Investor Protection Unit

Address:

Delaware Department of Justice
Investor Protection Unit
Carvel State Office Building – 5th Floor
820 N. French Street
Wilmington, DE 19801

Email: Investor.Protection@delaware.gov

Phone: (302) 577-8424

Hours: 8:30 AM – 5:00 PM Mon.-Fri.




Related Topics:  , , , , , , ,

+