Investor Education
August 7, 2007
NASAA to Participate in National Seniors Summit September 10
Summit to Bring Together Leading Senior Investor Protection Authorities WASHINGTON (August 7, 2007) —The North American Securities Administrators Association (NASAA) will participate in the second annual Seniors Summit, hosted by the U.S. Securities and Exchange Commission, September 10, 2007 in Washington, D.C., NASAA President Joseph P. Borg said today. (Click here for registration details.) The […]
May 22, 2007
NASAA Offers Tips on How to Talk to Aging Parents About Senior Investment Fraud
WASHINGTON (May 22, 2007) — They talked about the birds and bees with you, now it’s your turn to talk dollars and sense when it comes to your parent’s financial future and how to avoid losing their nest egg to financial fraud. Free lunch seminars, high-pressure phone calls, and endless mail guaranteeing high returns with […]
October 26, 2006
NASAA Warns Online Investors to Beware of Hack Attacks
Investors Urged to Carefully Monitor Online Trading Accounts WASHINGTON (October 26, 2006) – The North American Securities Administrators Association today warned investors to carefully monitor their online trading accounts in the wake of “hack attacks” in which predators have broken into customer accounts at online brokerages in the United States and Canada and made unauthorized trades […]
July 17, 2006
NASAA Survey Shows Senior Investment Fraud Accounts for Nearly Half of all Complaints Received by State Securities Regulators
Unregistered Securities, Variable and Equity Indexed Annuities Most Pervasive Financial Products Involved in Senior Investment Fraud WASHINGTON (July 17, 2006)—With the first ‘Baby Boomers’ turning 60 this year, state securities regulators warned today that investment fraud among seniors, which already accounts for nearly half of all investor complaints received by state securities regulators, could grow significantly […]
May 8, 2006
SEC and NASAA Launch Program to Protect Senior Investors
Joint Initiative Includes Aggressive Enforcement, Targeted Examinations, and Investor Education and Outreach Programs Washington, D.C. (May 8, 2006) – Securities and Exchange Commission Chairman Christopher Cox and North American Securities Administrators Association President Patricia D. Struck today announced a joint national initiative designed to protect seniors from investment fraud and sales of unsuitable securities. The initiative, […]
March 29, 2006
NASAA Identifies Threats to Senior Investors in Senate Testimony
State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) — The North American Securities Administrators Association (NASAA) today identified three troubling trends endangering the retirement nest eggs of our nation’s growing senior population and outlined the steps state securities regulators are taking to protect senior investors from fraud. “My […]
December 12, 2005
Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’
WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]
December 12, 2005
Senior Investor Alert: Senior Specialist Designations
Seniors should carefully check the credentials of individuals holding themselves out as “senior specialists.”
October 20, 2005
Affinity Fraud: Beware of Swindlers Who Claim Loyalty to Your Group
State securities regulators are warning investors to be on guard against a rise in affinity group fraud.
July 28, 2005
NASAA Warns Investors to Beware of Phantom Regulators
Con Artists Posing as U.S. Regulators Go Global to Lure Investors WASHINGTON, D.C. (July 28, 2005) – Want to check out a hot stock tip before you invest? Make sure you aren’t getting bad advice from con artists posing as regulators, warns Franklin L. Widmann, Chief of the New Jersey Securities Bureau, and President of […]
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