Illinois Securities Administrative Actions Search

Detected March 17th, 2026

Summary

The Illinois Securities Department has launched a new online search tool for administrative actions dating back to 2003. The tool is currently under development, with additional years to be added as the project progresses. Users can search by respondent name or file number.

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What changed

The Illinois Securities Department has introduced a new online search portal for administrative actions, initially covering the period from 2003 to the present. This tool allows users to search for actions by respondent name or file number and is part of an ongoing development process to include more years of data. The department also provides contact information for inquiries and requests for documents not available online.

While this is primarily an informational notice about a new search tool, regulated entities, particularly those operating in Illinois, should be aware of its existence. Compliance officers may use this tool to research past enforcement actions and understand the department's regulatory focus. No immediate compliance actions are required, but familiarizing oneself with the available search functionality is advisable for monitoring regulatory activity.

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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.