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Filing a Complaint

The Department of Banking and Securities (DoBS) Consumer Services Office encourages you to first attempt to resolve your dispute directly with the financial institution or individual before contacting our office. 

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.

Your request for assistance must be submitted 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 in order to address your concerns. 

Your complaint should include the following information to expedite processing:

  • Narrative description of the issue you are experiencing;
  • Statements, correspondence, communication logs, or other similar documents, between you and the entity;
  • Description of the resolution/outcome you are seeking with the entity; and
  • Any additional information relevant to the nature of the issue.

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. 

It is important to 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.

Investment and Securities Complaints

An Investor Complaint Form is required for complaints involving securities. 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.

DoBS cannot provide legal advice or recommend a financial institution or licensee under DoBS supervision.

If DoBS mediation efforts are not successful, you may be advised to seek relief either through private legal counsel, Legal Aid, mediation, arbitration, or Magisterial District Court.   

DoBS work is funded entirely by the assessments and fees paid by Pennsylvania's regulated financial community. No taxpayer dollars are used to support DoBS work.



Ask a question or file a complaint

 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, Suite 1300, 
Harrisburg, PA 17101