Enforcement Statistics

NASAA Member Enforcement Statistics (2016)

 

2016 Enforcement Statistics at a Glance

Investigations 4,341
Enforcement Actions
(administrative, civil, and criminal)
2,017
Investor Restitution Ordered $231 million
 Fines, Penalties, and Costs Assessed $682 million
Criminal Relief (incarceration, probation, defered prosecution) 1,346 years
Licenses Withdrawn, Denied, Revoked, Suspended or Conditioned: 3,510

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