710 IAC 4-13-2 Complaints where division not moving party

Sec. 2. (a) Any person may submit to the division a complaint concerning the activities of an issuer, broker-dealer, or agent. (b) Complaints shall be made in writing and shall be signed and verified by the person making the complaint. The complaint should include a succinct, definite statement of the facts on which it is based, including the: (1) names and addresses of the persons involved; (2) dates of the events complained of; and (3) nature of the interest of the person making the complaint. (c) The person making a complaint should: (1) be prepared to support the facts alleged by sufficient evidence; and (2) retain and make the evidence available to the division on its request. (d) The staff of the division is available for personal conferences with persons wishing to file a complaint and to assist in the preparation of complaints.