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…

NASAA Releases Annual Enforcement Report

The latest data reinforces the critical role of securities regulators in protecting investors from fraud and financial abuse. DOWNLOAD: 2022 Enforcement…

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,…

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…

SEC and NASAA Launch Program to Protect Senior Investors

Joint Initiative Includes Aggressive Enforcement, Targeted Examinations, and Investor Education and Outreach Programs Washington, D.C. (May 8, 2006) – Securities and…

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…

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…

2021 NASAA Presidential Address: Melanie Senter Lubin, Maryland Securities Commissioner

Tuesday, September 21, 2021NASAA Annual ConferenceChicago, Illinois Thank you, Lisa, for your very kind and generous introduction. Before I begin…