Search Results for: fraud

State Securities Regulators Urge Congress to Provide Greater Resources to Fight Investment Fraud

Ropp: “State securities regulators have the determination, willpower and experience to pursue perpetrators of financial crime.” WASHINGTON (March 20, 2009)…

NASAA Voices Strong Support for Casey/Kohl Legislation to Enhance Penalties for Investment Fraud Against Seniors

WASHINGTON, D.C. June 27, 2008—State securities regulators today voiced strong support for the Senior Investor Protections Enhancement Act of 2008…

NASAA Offers Tips on How to Talk to Aging Parents About Senior Investment Fraud

WASHINGTON (May 22, 2007) — They talked about the birds and bees with you, now it’s your turn to talk…

NASAA COVID-19 Enforcement Task Force Takes 250 Actions to Protect Investors From Pandemic Fraudsters

WASHINGTON, D.C. (December 17, 2020) – The North American Securities Administrators Association (NASAA) reported today that its COVID-19 Enforcement Task…

NASAA Investor Alert: Relationship Investment Scams

The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s Office of Customer Education and Outreach…

NASAA Testimony Before the New York Attorney General Regarding Micro-Cap Fraud

Testimony of Mark J. Griffin President, North American Securities Administrators Association Director, Utah Division of Securities Before the New York…

$5.15 Million Available to Investors in Securities Fraud Case

WASHINGTON, DC (January 15, 2010) - The North American Securities Administrators Association (NASAA) announced today that state securities regulators are…

NASAA Statement on the Securities Fraud Deterrence and Investor Restitution Act of 2003 (H.R. 2179)

WASHINGTON (February 25, 2004) – The following is a statement by Ralph A. Lambiase, President of the North American Securities…

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

WRITTEN STATEMENT OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION U.S. Senate Committee on Homeland Security and Governmental Affairs Subcommittee on…

The Role of State Securities Regulators in Protecting Investors, Enforcement Overview

Testimony of Joseph P. Borg Director, Alabama Securities Commission And Chairman of the Enforcement Section of the North American Securities…