Search Results for: top 10 scams

Wall Street crime should earn prison time, says top state regulator

Law enforcement summit planned to boost number of criminal cases WASHINGTON (January 9, 2000) - White-collar criminals who commit securities…

SEC microcap fraud actions: State securities regulators issue statement

(August 3, 1999) - As the SEC announced another microcap fraud sweep this morning, Peter C. Hildreth, New Hampshire's director…

Promises, promises: Investors warned about risky, fraudulent promissory notes

Con artists target elderly, even pray with victims to gain their trust Washington, D.C. (July 19, 1999) -- State securities…

48 states join in national investor education push (April 26-May1)

"Financial literacy" campaign targets workers, high school students WASHINGTON (April 26, 1999)– Securities regulators in 48 states*—from Alabama to Wyoming--next…

NASAA Marks Military Saves Week by Taking Aim at Fraud Targeting Military Members

WASHINGTON, D.C., February 21, 2012 – The North American Securities Administrators Association (NASAA) encourages military members and their families to…

NASAA Statement on Senate Approval of the JOBS Act

WASHINGTON (March 22, 2012) – The following is a statement from Jack E. Herstein, president of the North American Securities…

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

Legislation Remains Fundamentally Flawed Product of Rush to Legislate WASHINGTON (March 22, 2012) – Congress and the White House have…

How to Report a Scam or File a Complaint

How do I report a scam or suspicious investment? Feeling uncomfortable about an investment you’ve been considering? Not sure if…

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…

President's Remarks, 2001 SIA Small Firms Conference

Joseph Borg Director, Alabama Securities Commission President, North American Securities Administrators Association October 12, 2001 SIA Small Firms Conference Ft. Lauderdale, Florida…