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NASAA ENFORCEMENT REPORT 2014 REPORT ON 2013 DATA PREPARED BY: NASAA ENFORCEMENT SECTION OCTOBER 2014
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Document Date: 2014-11-04 14:15:25

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City

Chair Kevin Anselm / Ottawa / /

Company

Oil/Gas Ventures / Enforcement Training / Enforcement Publications / Securities Investigation Database / Reg D Investigations / Enforcement Zones / Income Investments / Real Estate Investments / Litigation Forum / Internet Fraud Investigations / /

Country

United States / Canada / /

Currency

USD / /

Event

Legal Issues / Product Recall / Product Issues / /

Facility

Colorado Joseph Rotunda / /

IndustryTerm

Web Brenner / digital currency site / Oil and Gas / life settlement products / /

Organization

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

Person

Relief / Kevin Anselm / A.Valerie Mirko / Julie Coleman / Patrick Ahearn / Allan Russ / Jeffrey Spill / Tom Atkinson / Tracy Myers / Methodology As / Charles Kaiser / /

Position

Broker-Dealer / actor / broker / Investment Adviser / Industry Participant Broker-Dealer / /

Product

Conditioned Survey Year Licenses / 2011 2 / 796 774 2010 2 / 595 647 2009 3 / 353 531 Table / Licenses / /

ProvinceOrState

Alaska / South Carolina / Oklahoma / Nevada / North Carolina / /

URL

www.securities-administrators.ca / /

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