Illinois Securities Department Administrative Actions Search

Detected March 17th, 2026

Summary

The Illinois Securities Department has launched a new online search tool for administrative actions, currently covering data from 2003 to the present. The tool is under development, with additional years to be added. Contact information is provided for obtaining documents not yet available online.

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What changed

The Illinois Securities Department has introduced an online Administrative Actions Search tool, allowing users to search for enforcement actions from 2003 to the present. The department states that the tool is under development and will include additional years as it progresses. Users can also access a complete listing or contact the department directly for copies of settlement agreements and other administrative actions not posted on the website.

This development provides a more accessible way for regulated entities and the public to review past enforcement actions. While the current scope is limited, the ongoing development suggests a commitment to transparency. Compliance officers should familiarize themselves with the tool and its limitations, and be prepared to utilize the provided contact information for specific document requests. No immediate compliance actions are required, but awareness of this resource is recommended for monitoring regulatory activity.

What to do next

Review the Illinois Securities Department's Administrative Actions Search tool.
Note contact information for obtaining documents not available online.

Source document (simplified)

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Administrative Actions Search

This Administrative Actions Search is currently under development and additional years will be added to the search as the development continues. Currently you can search for administrative actions between 2003 and the present. In addition to searching the years available you may also view the Complete Administrative Actions Listing. Alternatively, you may contact the Illinois Securities Department at either 1-800-628-7937, 217-782-2256 or 312-793-3384 for further assistance.

Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader

Search Type Search by Respondent Name Name
Search by File Number File Number
Search by Date Start Date End Date The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Administrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.