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Suspected financial exploitation

Please Note: This form is for use by Qualified Individuals who are Securities Industry Professionals in fulfilling their mandatory reporting in cases where they reasonably suspect financial exploitation of a vulnerable person as defined by ORS 124.100 has occurred, is occurring, or will occur.

Qualified Individuals are defined as broker-dealer sales persons, investment advisor representatives, and persons who serve in a supervisory, compliance, or legal capacity for a broker-dealer or state investment advisory firm. If you are not a “qualified individual” within the meaning of 2017 Oregon Laws Chapter 514 and wish to report suspected financial exploitation call: 1-855-503-SAFE (7233)


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