Enforcement Statistics

NASAA Member Enforcement Statistics (2013)

 

Enforcement Statistics at a Glance

Complaints Fielded by Regulators 9,693
Investigations 5,302
Enforcement Actions
(administrative, civil, and criminal)
2,184
Investor Restitution Ordered $616 million
 Fines, Penalties, and Costs Assessed $75 million
Jail Time Sentenced 1,816 years
Licenses Withdrawn, Denied, Revoked, Suspended or Conditioned: 3,657
Enforcement Actions Involving Senior Investors 1 in 5 (311 of the 1,463 enforcement actions by states that track victims by age)

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