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Enforcement and investigations

Enforcement and investigations

The Division of Financial Regulation's Enforcement and Investigations team conducts administrative, civil and criminal investigations involving several types of financial transactions such as securities, insurance, mortgage lending, non-depository programs, and consumer finance. The enforcement team protects Oregonians from scams and the dishonest acts of financial professionals and businesses.

Cases come to the Enforcement and Investigations team through a variety of channels, including referrals from the Advocacy and Market Regulation teams, as well as from consumer complaints, and tips and referrals from other agencies and stakeholders.

The unit pursues administrative action against individuals and companies that have violated the industries regulated by DFR. Enforcement has a variety of tools to address misconduct, including cease and desist orders, fines, licensing action, and restitution orders. The unit also works with other local, state and federal agencies to pursue civil and criminal action when appropriate.

The unit provides expertise to consumers, the business and legal community, federal and state agencies, and those involved in the industries regulated by the division. 

Enforcement Stats - 2023

Enforcement actions taken96
Civil penalties ordered $2,945,970
Restitution ordered $277,355

Taking Action

Quarterly Enforcement Summaries