NASAA Enforcement Statistics

NASAA Member Enforcement Statistics (Three Year Aggregate)

Enforcement Actions (includes administrative, civil, and criminal)                                     8,365

Monetary Fines & Penalties (includes civil and criminal)                                             $178 million

Money Ordered Returned to Investors (includes restitution, rescission, and disgorgement)                   $1.8 billion

Years of Incarceration Sentenced                                                              2764.64 years

Notes The data reflected are for the 2004/2005, 2005/2006 and 2006/2007 reporting periods. Data for the 2004/2005 reporting period reflects either calendar year 2005 or most recent fiscal year, July 1, 2004 through June 30, 2005. Totals are based on responses from 42 of 53 jurisdictions. Data for the 2005/2006 reporting period reflects either calendar year 2006 or most recent fiscal year, July 1, 2005 through June 30, 2006. Totals are based on responses from 36 of 53 jurisdictions. Data for the 2006/2007 reporting period reflects either calendar year 2007 or most recent fiscal year, July 1, 2006 through June 30, 2007. Totals are based on responses from 35 of 53 jurisdictions.

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NASAA Member Senior-Related Enforcement Activity (2004/2005 Reporting Period)

28 Percent of all Complaints Come From Seniors

26 Percent of all Enforcement Actions Involve the Financial Exploitation of Seniors

34 Percent of all Cases of Senior Investment Exploitation Involve Variable or Equity-Index Annuities

Notes All data are for the 2004/2005 reporting period, which is reflected either as calendar year 2005 or most recent fiscal year, July 1, 2004 through June 30, 2005. Totals are based on responses from 42 of 53 U.S. jurisdictions.

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