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Examinations Enforcement: States (20)
Your search for Examinations Enforcement: States returned 20 results.
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5/24/2018 | Content area: Investment Adviser
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated serie...
5/10/2018 | Content area: Investment Adviser
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report sna...
9/15/2016 | Content area: Investment Adviser
For the first time since it has collected enforcement data, NASAA announced Sept. 13 in its 2016 enforcement report that more registered members of th...
9/15/2016 | Content area: Broker-Dealer
There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated ...
11/12/2015 | Content area: Broker-Dealer
The falsification of invoices in a bid to make it look like a broker-dealer’s net capital figures reported on FOCUS reports were accurate has led to a...
10/08/2015 | Content area: Investment Adviser
Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found ...
9/24/2015 | Content area: Broker-Dealer
FINRA fines meted out to broker-dealers and associated persons during the first half of this year have significantly decreased compared with 2014, whi...
1/15/2015 | Content area: Investment Adviser
You can add another idea to the ever-growing heap of alternatives offered to address the SEC’s resource constraints limiting the number of investment ...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agen...
10/07/2014 | Content area: Broker-Dealer
The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013...
11/07/2011 | Content area: Investment Adviser
It was a busy year for state enforcers. According to NASAA's 2010 Enforcement Report, more than $12 billion was returned to aggrieved investors (a 200...
10/06/2010 | Content area: Investment Adviser
This is NASAA's guide to state contacts for B-D and RIA registration and exams, dated September 2010.
8/09/2010 | Content area: Investment Adviser
This is a compilation of state rules for reporting elder abuse. Gary Gushard, an attorney with Tucker Arensberg in Pittsburgh, compiled this list.
6/07/2010 | Content area: Investment Adviser
As Congress contemplates moving thousands of RIAs from SEC registration to the states, we'll occasionally give you updates on what's happening on the ...
1/04/2010 | Content area: Investment Adviser
Reports indicate RIA Pacific Corporate Group of La Jolla, Calif., helped steer California Public Employees' Retirement System (CalPERS) toward investi...
5/18/2009 | Content area: Investment Adviser
Two investors in their 60s are seeking big money from their investment adviser, who they claim breached its fiduciary responsibility by keeping the re...
5/04/2009 | Content area: Investment Adviser
The federal government seriously underestimates the price tag it would take to adequately regulate the financial services industry, which some think a...
2/11/2009 | Content area: Investment Adviser
IA Week has obtained court documents from a Massachusetts case that reveal Ruth Madoff, wife of disgraced adviser Bernard Madoff, received $15.5 milli...
2/11/2009 | Content area: Investment Adviser
Copy of Massachusetts complaint against Cohmad Securities, a firm partly owned by Bernard Madoff.
2/11/2009 | Content area: Investment Adviser
Copies of $15.5 million cash transfers to Bernard Madoff's wife Ruth.

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