Search Results for: fraud

NASAA Statement On State Investigation of Morgan Stanley Mutual Fund Sales Practices

WASHINGTON (July 14, 2003) --The following is a statement by Christine A. Bruenn, President of the North American Securities Administrators…

States Urge Congress to Reconsider Proposal That Weakens Investor Protection

WASHINGTON (July 10, 2003) -- State securities regulators today voiced their strong opposition to a provision of the “Securities Fraud…

NASAA Statement on HR 2179

(May 21, 2003) - "We support more resources and investigative powers for the SEC, as this legislation would provide," said…

NASAA Announces Top Investor Threats

Investors Reminded to Approach Unsolicited Offers with Caution WASHINGTON, D.C. (December 21, 2015) – The North American Securities Administrators Association (NASAA)…

New Products in Classic Schemes Identified as Top Investor Threats

WASHINGTON (November 12, 2014) – The North American Securities Administrators Association (NASAA) today identified emerging threats investors are likely to…

State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women

New Outreach Program Designed to Help Women Strengthen Financial Confidence WASHINGTON, D.C. (March 2, 2020) —In recognition of Women’s History…

Securities Industry and Regulators Launch Combined Investor Education Initiative

Group Unveils Informational Brochure On Promissory Notes Washington, D.C., April 12, 2001 – In an effort to ensure that the…

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…

Martin Frankel case: A phone call could’ve saved billions, note state securities cops

Computer database, available to the public, contains work, disciplinary records on 600,000 stockbrokers WASHINGTON (June 24, 1999)– One phone call…

NASAA Highlights Top Investor Threats for 2023

Scammers Use Technology and Play on Emotions to Target Retail Investors WASHINGTON, D.C. (April 20, 2023) – The North American…