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Financial economics / Law / Financial regulation / Late-2000s financial crisis / North American Securities Administrators Association / U.S. Securities and Exchange Commission / Securities fraud / Selling away / Dodd–Frank Wall Street Reform and Consumer Protection Act / Securities / United States securities law / Financial system


NASAA ENFORCEMENT REPORT 2013 REPORT ON 2012 DATA PREPARED BY: NASAA ENFORCEMENT SECTION OCTOBER 2013
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Document Date: 2013-10-31 09:26:14

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City

Chair Keith Woodwell / /

Company

Oil/Gas Ventures / Jeffrey Spill / Attorney/Investigator Training / Enforcement Publications / Colorado Oil & Gas / Securities Investigation Database / Reg D Investigations / Enforcement Zones / Oil & Gas Investments / New Hampshire Litigation Forum Gerald Rome / Real Estate Investments / Litigation Forum / Internet Fraud Investigations / /

Country

United States / /

Currency

USD / /

Event

Product Recall / Product Issues / Legal Issues / Business Partnership / Diplomatic Relations / /

Facility

Alaska Joseph Rotunda / /

IndustryTerm

Internet offerings / by-products / oil and gas offerings / social media / Web Brenner / life settlement products / oil / oil and gas cases / oil and gas investments / /

Organization

NASAA / U.S. Securities & Exchange Commission / North American Securities Administrators Association / Section Committee / Federal Bureau of Investigation / Department of Justice / /

Person

Relief / Kevin Anselm / Rick Fleming / Allan Russ / Tracy Myers / Tom Atkinson / Keith Woodwell / Methodology As / Charles Kaiser / /

Position

Broker-Dealer / state securities administrator / state administrator / actor / Investment Adviser / scam artist / Private / Industry Participant Broker-Dealer / /

Product

Conditioned Survey Year Licenses / Costs Assessed Jail Time Sentenced Licenses / 2011 2 / 796 774 2010 2 / 595 647 2009 3 / 353 531 Table / Licenses / /

ProvinceOrState

Utah / Maine / South Carolina / Oklahoma / North Carolina / /

SocialTag