Search Results for: fraud

Sandwich Generation: Common Investment Scams

Each year, investors are targeted with a variety of misleading sales tactics, or worse, outright fraud. Investors also have to…

The Coronavirus is Novel but Crisis-related Scams are Nothing New

The North American Securities Administrators Association (NASAA) and FINRA have joined to encourage investors to proceed cautiously with new investment…

Informed Investor Advisory: Marijuana-related Investments

Are you an informed investor? Marijuana-Related Investments: Greener Pastures or Just Another Scam? You know the pitch – “Don’t miss…

Informed Investor Advisory: Private Placement Offerings

Are you an informed investor? Private Placement Offerings The COVID-19 pandemic has caused significant disruption and anxiety to individuals and…

Top Investor Threats

NASAA Top Investor Threats The following list of the top financial products and practices that threaten to trap unwary investors…

2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017 NASAA Annual Conference Seattle, Washington Thank you Mike for your generous introduction and for all you’ve accomplished…

NASAA President Outlines Key Elements of Meaningful Regulatory Reform in Congressional Testimony

WASHINGTON (October 6, 2009) – In testimony before the U.S. House Financial Services Committee, North American Securities Administrator Association President…

NASAA, NAPSA Unite to Fight Financial Elder Abuse

State Securities Regulators & Adult Protective Services Workers Announce Partnership to Prevent Elder Abuse Washington, D.C. (June 15, 2009)––The North…

State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown

Borg: “The actions announced today are just the tip of the iceberg." Cryptosweep Presentation WASHINGTON, D.C. (May 21, 2018) – The…

States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers

NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators Download: 2013 Enforcement Report on 2012 Data (pdf) WASHINGTON (October 31,…