Search Results for: fraud

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,…

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’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 Urges Congress to Preserve State Anti-Fraud Enforcement Authority in Digital Assets Market Structure Legislation

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.

Investment Fraud Awareness Quiz

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 Urges Congress to Champion the States as Fraud Fighters