Search Results for: fraud

Informed Investor Advisory: Protecting Your Online Accounts

Are you an informed investor?Protecting Your Online AccountsAs financial technology has evolved, it has given consumers the ability to shop,…

NASAA’s Memorandum in Support of Jurisdiction to the Ohio Supreme Court in State of Ohio v. Willan, arguing that: (1) a finding of reliance is not required to support a securities fraud conviction; (2) a statement made for the purposes of registering a securities offering is material if a reasonable investor would consider it important in deciding whether to invest; and (3) registration and licensing regulations are to be construed broadly in order to protect the investing public.

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 Letter to Congress Opposing “The Securities Fraud Act of 2018” (H.R. 5037)

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 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.

Investment Fraud Awareness Quiz

NASAA Calls on the Federal Government to Leverage the State-Federal Partnership that Fosters Innovation and Mitigates Fraud in Our Capital Markets

NASAA amicus curiae brief regarding the impact of Jarkesy on Arizona antifraud enforcement and the scope of the non-public offering exemption.

NASAA files Amicus Brief in California v. American Funds Distributors, Inc., arguing that NSMIA does not preempt California’s enforcement action for fraud in mutual fund offering documents