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Welcome to Real Life Regulators, a podcast featuring investment fraud cases from the files of state and provincial securities regulators and discussing how these regulators bring fraudsters to justice.

Real Life Regulators brings true crime stories straight from the investigative files of the securities regulators closest to investors. By taking listeners through the investigative process, the podcast provides an insider’s view of how to identify an investment scam, which is one key to investor protection. Real Life Regulators is produced by the Life Stages Project Group of NASAA’s Investor Education Section and also is available on iTunes and Google Play.

EPISODES

EPISODE 3 Trusted Agent Takes Clients to the Cleaners: After receiving a tip from adult protective services, the Securities Department at the Office of the Montana State Auditor began an investigation into a man allegedly using bank accounts of fellow church members as a personal piggy bank. When all was said and done, more than $2 million was unaccounted for. Thankfully, Montana securities regulators were there to help.

EPISODE 2 Swindled by the Son She Never Had: The American dream is at the heart of this episode, which features the story of a young immigrant who comes to the United States and becomes a successful entrepreneur through her strong work ethic. Her retirement becomes anything but comfortable after she meets a wolf in sheep’s clothing. In this episode of Real Life Regulators, investigators and attorneys from the District of Columbia Department of Insurance, Securities and Banking explore the devastation that can occur when an elderly victim entrusts the wrong person and becomes socially isolated due to the influence of a fraudster. Produced by the North American Securities Administrators, Real Life Regulators is a podcast featuring investment fraud cases from the files of state and provincial securities regulators and discussing how these regulators bring financial con artists to justice.

 

EPISODE 1 The Advisor and the Widow:  Investigators and lawyers from the Connecticut Department of Banking’s Securities and Business Investment Division, discuss how an unscrupulous financial advisor took advantage of a widowed client and drained her investment account to pay down debt and spend on personal expenses, including limousines, expensive dinners and sporting events.