committed to protect the investing public
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Division of Securities assists and guides the parties toward their own solution by helping them to define the important issues and understand each other’s interests. The mediator focuses each side on the crucial factors necessary for settlement...

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Stockbroker fraud or fraud in connection with the sale of securities is prohibited by federal and state laws. Private causes of action for stockbroker fraud, and investment fraud including churning, suitability, and other violations...

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Investment Management and Inflation

It would be of some interest to the investor to have an understanding of managing investments and inflation and what effect it would have on the various financial instruments being held in his portfolio...

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Who We Are

As a specialized commission, this office conducts inquiries and investigations into matters associated with fraud and money laundering. We are an independent regulatory commission for investment firms. We exist to ensure that the corporate finance industry is conducting business fairly and under the guidance and supervision of policies set forth by the United States. We are committed in protecting the investing public and maintaining the market integrity through efficient governance and regulation of the industry.

Educate the investing public

• Avoiding Circumstances that can lead to Fraud
• Draw a Personal Financial Roadmap
• Evaluate Comfort Zone
• Re-balancing of Portfolio
• Creating an Emergency Fund
• Appropriate Mix of Investments

Restrict unfair, abusive and fradulent business practice

Development of Prevention, Detection & Internal Security Policies, Measures and Procedures

Accept Consumer Complaints

• Comprehensive Background Checks
• International Financial Crime & Fraud Investigations

Investigate and enforcement of legal actions

International Financial Crime & Fraud Investigations

Dispute Resolution

• International Financial Crime & Fraud Investigations
• Financial Tracking & Asset Recovery
• Anti-money Laundering & Counter-terrorism Financing Activity
• Litigation Support & Expert Witness Testimony/Evidence
• Transaction Pattern & Trend Analysis
• Financial Instrument & Document Analysis


• Defuse Hostile Attitudes
• Remedy Miscommunications
• Eliminate Extreme Negotiating Positions
• Explore Creative and Innovative Solutions
• Swift Settlement
• Low Risk

Rockford Financial Advisors

At RFA, we understand that confidentiality is key in any financial relationship and we are committed to keeping your personal and financial information secure and confidential.

RFA was built to be a sustainable organization with both the scale to provide sophisticated expertise and the client focus to deliver customized services and solutions–a unique position in our industry.

We believe each of our clients deserves solutions tailored to their specific needs and service teams who know how to help them fulfill their goals. Our clients have open access to our best thinking and advice across all levels of our organization.

Our stability and independence attracts and retains exceptional professionals. We foster a collaborative culture that integrates innovative and diverse perspectives to ensure clients benefit from our best thinking.

How We Are Funded

We receive funding from the U.S. Congress and we are answerable to the Treasury Department concerning financial allocation and distribution to employees.