Enforcement Statistics

NASAA Member Enforcement Statistics

 

2017 Enforcement Statistics at a Glance

Investigations 4,790
Enforcement Actions
(administrative, civil, and criminal)
2,105
Investor Restitution Ordered $486 million
 Fines, Penalties, and Costs Assessed $79 million
Criminal Relief (incarceration, probation, defered prosecution) 1,985 years
Licenses Withdrawn, Denied, Revoked, Suspended or Conditioned: 4,500

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