Enforcement Statistics

NASAA Member Enforcement Statistics (2012*)

Enf-stat-2

Enforcement Actions Initiated_________________________________2,496 actions
(includes administrative, civil, and criminal)

Enforcement Actions Involving Abuse of Senior Citizens __________About 1 in 6 

Money Ordered Returned to Investors___________________________$694 million
(includes restitution, rescission, and disgorgement)

Years of Incarceration Sentenced_______________________________1,361 years
*With 49 U.S. jurisdictions reporting data from calendar year 2012 or fiscal year 2011-2012, 2012-2013.

Download >> 2013 NASAA Enforcement Report on 2012 Data