Enforcement Statistics

NASAA Member Enforcement Statistics (2015)

 

2015 Enforcement Statistics at a Glance

Investigations 5,000+
Enforcement Actions
(administrative, civil, and criminal)
2,074
Investor Restitution Ordered $538 million
 Fines, Penalties, and Costs Assessed $230 million
Criminal Relief (incarceration, probation, defered prosecution) 1,282 years
Licenses Withdrawn, Denied, Revoked, Suspended or Conditioned: 3,728

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