***NOTE: THE CONSUMER SERVICES OFFICE ASSISTS CONSUMERS/INDIVIDUALS ADDRESSING CONCERNS WITH A REGULATED FINANCIAL ENTITY. IF YOU ARE A LICENSEE, REPRESENTATIVE OR EMPLOYEE OF A REGULATED FINANCIAL ENTITY, OR SEEKING TO ENGAGE IN A FINANCIAL ACTIVITY, YOUR INQUIRY MUST BE DIRECTED TO YOUR CORRESPONDING PROGRAM AREA.
For Depository (Banks, Credit Unions, Non-Depository Trusts) contact: https://www.dobs.pa.gov/Businesses/Banking/Pages/default.aspx
For Non-Depository (Mortgage, Nonbanks, etc.) contact: https://www.dobs.pa.gov/Businesses/Non-Bank%20Licensees/Pages/Non-Bank%20Licensees.aspx
For Securities (Investment Advisers, IARs, Broker-Dealers, Notice-Filers, etc.) contact: https://www.dobs.pa.gov/Businesses/Securities/Pages/default.aspx
The Department of Banking and Securities (DoBS) Consumer Services Office (CSO) encourages the consumer to first attempt to resolve their dispute directly with the financial institution or individual business entity before contacting our office.
Important Information: The Consumer Services Office will make every effort to help address consumer complaints through facilitation with the entity; however, there is no guarantee that the matter can or will be resolved. Complaints are important as they allow DoBS to identify patterns of unfair or deceptive practices that may result in further action.
CLICK HERE! Ask a question or file a complaint1.800.PA.BANKS or 1.800.600.0007 Phones are staffed from 8:00 AM - 5:00 PM, Mon- Fri.
Fax to 717.724.6869
17 N. 2nd Street, Harrisburg, PA 17101
Your request for assistance must be submitted in writing using our online complaint form. Please be sure to include all relevant information. The information you provide to DoBS, including supporting documentation, will be shared with the licensed entity to address your concerns.
Your complaint should include the following information to expedite processing:
If you are submitting a complaint on behalf of someone else, a Third Party Authorization release must be completed and submitted with the complaint information.
Please note that DoBS does not regulate all financial institutions doing business in Pennsylvania. Visit Investigate to Invest to determine where you should go to find assistance.
Information about banks can be found at FDIC BankFind or National Information Center. These sites are helpful when you are trying to find the history of an institution for the purpose of obtaining a satisfaction piece or locating an old account. Information about credit unions can be found at National Credit Union Administration.
An Investor Complaint Form is required for complaints involving securities.
An investor complaint form should be used in lieu of a traditional complaint for securities-related disputes. This could include complaints concerning brokers, brokerage firms, investment advisers, problems with investments, and investment account, or a financial professional.
How Do I Report a Scam or Suspicious Investment?
You may verify that a firm or individual is licensed through BrokerCheck. This allows you to search for an individual or firm by name, CRD/SEC Number, employing firm, or zip code.
To avoid any confusion or frustration regarding what the Consumer Services Office can do, you should understand that our authority is limited. CSO cannot:
You may call the Consumer Services Office
between the hours of 8:00 AM and 5:00 PM EST Monday through Friday at
1.800.722.2657 or 1.800.600.0007
The department provides courteous and timely responses to consumer complaints with an objective to respond to complaints/concerns within 10 days of receipt. Agency staff track and analyze inquiries, complaints and resolutions received via the toll-free helpline (1-800-PA-BANKS), website (www.dobs.pa.gov) and other government agency referrals. This is a requirement of the department's accreditation.