Search Results for: fraud

NASAA Outlines Dangers Facing Senior Investors

Borg: “States have been in the vanguard developing innovative regulatory responses to fight senior investment fraud.” WASHINGTON, D.C. (September 5, 2007)—The…

State Securities Regulators Report Increases in Enforcement Actions, Money Ordered Returned to Investors & Years of Incarceration for Securities Law Violations

WASHINGTON (December 12, 2006) – State securities regulators today reported significant increases in the number of enforcement actions, money ordered returned…

Investor Advocates and State Securities Regulators Call on SEC to Rethink JOBS Act Rule

News Conference Remarks WASHINGTON (October 9, 2012) – In a news teleconference this afternoon, Arkansas Securities Commissioner Heath Abshure, who is also…

NASAA Releases Annual Enforcement Report

Report Indicates Seniors Remain a Top Target for Cons DOWNLOAD > 2015 NASAA Enforcement Report on 2014 Data WASHINGTON, D.C.…

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 Outlines Financial Education Initiatives in Testimony Before Federal Commission

WASHINGTON (May 20, 2004) — North Dakota Securities Commissioner Karen Tyler, on behalf of the North American Securities Administrators Association…

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…

Multilingual Resources

Many Voices, One Message: Investor Protection Investor education, as with investment fraud, knows no borders. Our library of multilingual investor…

NASAA Statement On State Investigation of Morgan Stanley Mutual Fund Sales Practices

WASHINGTON (July 14, 2003) --The following is a statement by Christine A. Bruenn, President of the North American Securities Administrators…

States Urge Congress to Reconsider Proposal That Weakens Investor Protection

WASHINGTON (July 10, 2003) -- State securities regulators today voiced their strong opposition to a provision of the “Securities Fraud…