Search Results for: fraud

NASAA Brings Fraud Prevention Focus to America Saves Week

WASHINGTON, D.C. (February 25, 2008) – The North American Securities Administrators Association (NASAA), in observance of America Saves Week, today…

The Role of State Securities Regulators in Protecting Investors

Testimony of Ralph A. Lambiase Director, Division of Securities Connecticut Department of Banking & President North American Securities Administrators Association,…

1998 Presidential Speech, New Hampshire Director of Securities Regulation Peter Hildreth

President's Remarks Peter C. Hildreth New Hampshire Director of Securities Regulation President, North American Securities Administrators Association October 6, 1998…

Betting on Death in the Life Settlement Market – What’s at Stake for Seniors?

Testimony of Fred J. Joseph Colorado Securities Commissioner and President of the North American Securities Administrators Association, Inc. Before the…

NASAA Comment Letter to SEC Regarding File No. S7-25-06 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles; Securities Act Release No. 33-8766; Investment Advisers Act Release No. 2576, 72 FR 400 (Jan. 4, 2007)

NASAA files an amicus brief in the Eighth Circuit in Pet Quarters, Inc. v. The Depository Trust and Clearing Corporation, arguing that federal law does not preempt a fraud claim under state law against various clearing and settlement organizations.

NASAA amicus brief filed in the appellate court of Illinois Fourth Judicial District supporting the Illinois Securities Division by arguing that the lower court correctly found that an investment adviser violated the anti-fraud provisions of the Illinois Securities Act when he “switched” his clients equity-indexed annuities.

NASAA files an amicus brief in the United States Supreme Court in the Stoneridge appeal, in support of an investor’s right to sue those who have participated in securities fraud through deceptive conduct, not just through misrepresentations and omissions, under Section 10(b) of the Securities Exchange Act of 1934.

NASAA files brief in Whistler Investments, Inc. v. The Depository Trust and Clearing Corporation, arguing that federal law does not preempt a fraud claim under state law against various clearing and settlement organizations.

NASAA files amicus brief in Tellabs, Inc. v. Makor Issues & Rights, Ltd., arguing that plaintiffs in a securities fraud action should not be subjected to an overly burdensome pleading standard for scienter under the Private Securities Litigation Reform Act of 1995.

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