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State Securities Regulators Release Top 10 Scams, Schemes & Scandals

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004) – State securities regulators today forecast that investors will be challenged with increasingly complex and confusing investment frauds and identified the Top 10 schemes investors are likely to see in 2004. New to the North American Securities Administrators Association’s (NASAA) […]

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State Securities Regulators Release Top 10 Scams, Schemes & Scandals

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004) – State securities regulators today forecast that investors will be challenged with increasingly complex and confusing investment frauds and identified the Top 10 schemes investors are likely to see in 2004. New to the North American Securities Administrators Association’s (NASAA) […]

2004 Headlines, Newsroom Read more

“Top 10 Investment Scams” List Released by State Securities Regulators

WASHINGTON (April 23, 2001) – State securities regulators today released a list of the top 10 investment scams they are combating. New to the third annual list are risky payphone and ATM investments, often sold by independent life insurance agents, and so-called “callable” certificates of deposit sold to older Americans despite their 10- to 20-year […]

2001 Headlines, Newsroom Read more

State Securities Cops Release New List of “Top 10 Investment Scams”

`Day-trading` seminars, promissory notes, viatical investments make ranking WASHINGTON (May 24, 1999) – State securities regulators today released a list of the Top 10 Scams they are combating, adding pricey day-trading seminars, supposedly high-yielding promissory notes and investments in viatical settlements (interests in the life insurance policies of supposedly terminally ill people) to the second-annual […]

1999 Headlines, Newsroom Read more

State Securities Cops Release New List of "Top 10 Investment Scams"

`Day-trading` seminars, promissory notes, viatical investments make ranking WASHINGTON (May 24, 1999) – State securities regulators today released a list of the Top 10 Scams they are combating, adding pricey day-trading seminars, supposedly high-yielding promissory notes and investments in viatical settlements (interests in the life insurance policies of supposedly terminally ill people) to the second-annual […]

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New Products in Classic Schemes Identified as Top Investor Threats

November 12, 2014–“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”

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NASAA Expands Annual Top Investor Threat List

October 15, 2013–JOBS Act implementation prompts additions of threats to small business owners.

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Top Investor Threats

The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.

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2010 Top Ten Investor Traps

“Knowledge, attention to detail and a healthy sense of skepticism are a triple threat to fight investment fraud. The more you are prepared, the better your chance of sidestepping a trap that can leave you in a financial hole for many years.” NASAA President Denise Voigt Crawford Investors rebuilding nest eggs damaged by the market […]

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10 Tips to Protect Your Nest Egg

NASAA offers seniors ten common-sense solutions to avoid investment fraud.

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