Search Results for: fraud

Wall Street Analyst Conflicts of Interest Global Settlement

Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Committee on Banking, Housing and Urban Affairs…

Rise of Fintech Raises New Concerns for Securities Regulators

Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors WASHINGTON, D.C.…

Webinar to Help Raise Awareness of Challenges and Opportunities of Self-Directed IRA Investing

Industry, state securities regulators join forces in investor protection effort WASHINGTON, July 9, 2012 – The Retirement Industry Trust Association…

Risky ‘death futures’ draw warning from state securities regulators, congressional scrutiny

Promises of ‘guaranteed returns’ fuel losses in the hundreds of millions of dollars; High commissions entice independent insurance agents to…

NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023

Oct. 2, 2023 The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity…

NASAA Reveals Top Investor Threats for 2022

State Securities Regulators Warn of Risks of Cryptocurrency and Digital Asset Fraud WASHINGTON, D.C. (January 10, 2022) – The North…

NASAA Identifies Threats to Senior Investors in Senate Testimony

State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) -- The North American Securities…

State Securities Regulators Release “Unlucky 13” Investor Traps

Personal Information Scams, Oil & Gas Investment Fraud, Prime Bank Schemes Seen as Greatest Potential Threats to Investors in 2006…

Wall Street crime should earn prison time, says top state regulator

Law enforcement summit planned to boost number of criminal cases WASHINGTON (January 9, 2000) - White-collar criminals who commit securities…

NASAA Identifies Top Investor Traps

Crawford: “Knowledge, attention to detail and a healthy sense of skepticism are a triple threat to fight investment fraud.” WASHINGTON…