01/20/10	NORTH CAROLINA: The Securities Division filed an Administrative Petition seeking to revoke or suspend the state security dealer registration of E*Trade Securities, LLC
12/28/09	INDIANA: Indiana Securities Division agreement with Stifel, Nicolaus & Company will accelerate return of investments to Indiana investors and establish outside review of company’s sales practices
12/28/09	MISSOURI: Carnahan and Attorney General’s Office Reach Settlement with Stifel Nicolaus
12/27/09	COLORADO: Colorado Securities Commissioner Announces Settlement with Stifel Nicolaus in Auction Rate Securities Case
12/23/09	OREGON: State proposes to revoke investment adviser license
12/21/09	ONTARIO: Settlement Reach Following a Joint Investigation into Asset-Backed Commercial Paper
12/21/09	NEW BRUNSWICK: CSA’s web-based tool allows investors to search registration of securities industry participants across multiple Canadian jurisdictions
12/18/09	ONTARIO: OSC announces plans to enhance compliance with corporate governance and environmental disclosure requirements for 2010
12/18/09	NEW BRUNSWICK: Canadian Securities Regulators Publish Responses to Frequently Asked Questions About New National Registration Regime
12/17/09	BRITISH COLUMBIA: BCSC permanently bans man who raised millions for Forex trading
12/17/09	NEW YORK: Attorney General Cuomo Obtains Court Order Freezing Assets Of Brooklyn Ponzi And Pyramid Scheme
12/17/09	SASKATCHEWAN: Cease Trade Order Extended
12/16/09	NEVADA: Secretary of State Ross Miller Says New Report Highlights Need to Teach Financial Literacy
12/16/09	VIRGINIA: Merrill Lynch Pays Virginia $425,000 to Settle Investigation of Unregistered Client Associates
12/15/09	TEXAS: Investors in Bogus ‘Life Settlement’ Products to Receive $19.8 Million
12/15/09	PENNSYLVANIA: Securities Commission Orders Deutsche Bank to Refund More Than $37 Million of Auction Rate Securities
12/14/09	VIRGINIA: State to Receive $1.37 Million in Auction Rate Securities Settlement
12/14/09	MONTANA: Merrill Lynch Pierce Fenner & Smith, Inc. agrees to pay hefty fine
12/11/09	MAINE: Kaile Warren, owner of Rent-A-Husband, Indicted on Charges of Securities Fraud, Theft by Deception, and Sale of Unregistered Securities
12/10/09	ALBERTA: Bill Rice Reappointed as Chair of the ASC
12/10/09	NEVADA: Secretary of State Officials Order Reno Companies to Stop Offering Unregistered Securities
12/09/09	QUEBEC: AMF Takes Preventive Measures to Stop Potential Schemes
12/09/09	MISSOURI: Carnahan Resolves Two Auction Rate Securities Cases for Missouri Investors
12/08/09	ARKANSAS: Arkansas Securities Commissioner A. Heath Abshure imposes fines and sanctions against Apple Tree Investments, Inc., Steve Kiefer, and Mitch Tapson
12/07/09	KENTUCKY: Oil and Gas Schemers Indicted for Defrauding Investors Out of Millions
more...