Search Results for: fraud
Martin Frankel case: A phone call could’ve saved billions, note state securities cops
Computer database, available to the public, contains work, disciplinary records on 600,000 stockbrokers WASHINGTON (June 24, 1999)– One phone call…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…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,…NASAA Statement on HR 2179
(May 21, 2003) - "We support more resources and investigative powers for the SEC, as this legislation would provide," said…NASAA Outlines Changes Needed to Strengthen Senate Financial Regulatory Reform Package
WASHINGTON (April 27, 2010) – North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford today…State Securities Regulators Announce New Model Rule on the Use of Senior Certifications and Professional Designations
NASAA Also Voices Strong Support for the ‘Senior Protection Act of 2008’ and Applauds Sen. Herb Kohl’s Leadership in the Fight…2019 NASAA Presidential Address: Christopher Gerold, New Jersey Securities Bureau Chief
September 10, 2019NASAA Annual MeetingAustin, Texas Thank you Mike for your generous introduction and for all you’ve accomplished this past…NASAA Forms COVID-19 Enforcement Task Force
WASHINGTON, D.C. (April 28, 2020) – The North American Securities Administrators Association (NASAA) today announced the formation of the COVID-19…SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and…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…
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