Enforcement Statistics

NASAA Member Enforcement Statistics (2014)


2014 Enforcement Statistics at a Glance

Complaints Fielded by Regulators 11,340
Investigations 4,853
Enforcement Actions
(administrative, civil, and criminal)
Investor Restitution Ordered $405 million
 Fines, Penalties, and Costs Assessed $174 million
Jail Time Sentenced 1,629 years
Licenses Withdrawn, Denied, Revoked, Suspended or Conditioned: 3,585
Enforcement Actions Involving Senior Investors 1 in 4 of the enforcement actions by states that track victims by age