Search Results for: fraud

Penalties for White Collar Offenses: Are We Really Getting Tough on Crime?

Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the Crime and Drugs Subcommittee Senate Judiciary Committee…

Senior Investor Alert: Free Meal Seminars

Seminars, Specialists and Abusive Sales Practices State securities regulators warn senior investors to be aware that a combination of “free…

President's Remarks, NASAA CRD/IARD Training

Ralph Lambiase Director, Connecticut Division of Securities President, North American Securities Administrators Associaion April 30, 2004 NASAA 2004 CRD/IARD Training…

One Broker Gone Bad: Punishing the Criminal, Making Victims Whole

Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the House Financial Services Oversight and Investigations Subcommittee,…

NASAA Outlines Pro-Investor Legislative Priorities

WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will…

The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation

Written Testimony of William Beatty Washington Securities Division Director and Past-President of the North American Securities Administrators Association, Inc. House…

NASAA Testimony Regarding the Commodity Exchange Act Amendments of 1997

Written Statement of A. Duane Fry Georgia Securities and Business Regulation Division Office of the Secretary of State Chairman of…

Informed Investor Advisory: Crypto Recovery Room Scams

Are you an informed investor? Crypto Recovery Room Scams Getting calls, texts, messages or emails from someone promising to find…

An Agenda for Change: How the 111th Congress Can Better Protect Investors

News Conference Opening Statement Fred Joseph Colorado Securities Commissioner President, North American Securities Administrators Association January 29, 2009 National Press…

2006 Presidential Speech, Alabama Securities Commission Director Joseph Borg

President's Remarks Joseph P. Borg Director, Alabama Securities Commission President, North American Securities Administrators Association September 19, 2006 NASAA 89th…