Page 26 - 2013_2014 NASAA report

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NASAA Activity | Sections

Enforcement

Overview 2013-2014 Section Committee 2012-2013 Section Committee

Diana Foley (NV), Chair Judith Shaw (ME), Chair
NASAA members have a signifcant history of bringing
Keith Woodwell (UT), Vice Keith Woodwell (UT), Vice
enforcement actions, including criminal prosecutions.
Chair Chair
NASAA assists its members in coordinating enforcement
Kevin Anselm (AK) Kevin Anselm (AK)
eforts regarding multi-state frauds by facilitating the sharing
Joe Rotunda (TX) Joe Rotunda (TX)
of information and leveraging the resources of states more
Gerald Rome (CO) Abbe Tiger (NJ)
efciently. NASAAs Enforcement Section acts as a point of
Tom Atkinson (ON) R. Scott Peacock (NS)
contact for federal agencies and self-regulatory organizations,
Rick Fleming (NASAA)
such as the SEC, the FBI, the Postal Inspectors, and FINRA,
and helps identify new fraud trends. Te Section oversees the
2013-2014 Project Group Chairs 2012-2013 Project Group Chairs
activities of several Project Groups, including: Enforcement
Publications, Training, Internet Fraud Investigations, Oil/
T. Webster Brenner (MD) T. Webster Brenner (MD)
Gas Ventures, Reg D Investigations, SID Database and
Enforcement Publications Enforcement Publications
Enforcement Zones.
Tracy Meyers (SC) Tracy Meyers (SC)
& Jefrey Spill (NH) & Jefrey Spill (NH)
Enforcement Training Enforcement Training
Jake van der Laan (NB) Robert Moilanen (MN)
Internet Fraud Investigations Internet Fraud Investigations
Chad Harlan (KY) Gerald Rome (CO)
Oil/Gas Joint Oferings Litigation Forum
Allan Russ (NC) Chad Harlan (KY)
Reg D Investigations Oil/Gas Ventures
Charles Kaiser (OK) Allan Russ (NC)
& Rodney Griess (NE) Reg D Investigations
SID Database Charles Kaiser (OK)
Jefrey Spill (NB) & Rodney Griess (NE)
Enforcement Zones SID Database
Jake van der Laan (NB)
Enforcement Zones

2012-2013 Enforcement Section Chair and current NASAA
Board Member Judith Shaw of Maine oversaw the sections
annual enforcement survey and the creation of the annual
listing of top investor threats.

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