‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
By Securities Docket on January 23, 2020, 8:42 am
The North American Securities Administrators Association (NASAA) announced today that Vincente Martinez has joined the organization as its General Counsel. He will report to NASAA Executive Director Joseph Brady. via NASAA Names New General Counsel.
By Securities Docket on May 22, 2018, 5:48 pm
I applaud our fellow regulators in the United States and Canada who are coordinating and participating in efforts to police fraud in the Initial Coin Offering (ICO) markets. These state and provincial regulators play a critical role in protecting Main Street investors. When investors are offered and sold securities, whether through traditional channels or through […]
By Securities Docket on May 22, 2018, 8:52 am
NASAA members from more than 40 jurisdictions throughout North America participated in “Operation Cryptosweep,” which to date has resulted in nearly 70 inquiries and investigations and 35 pending or completed enforcement actions related to ICOs or cryptocurrencies since the beginning of May. NASAA members are conducting additional investigations into potentially fraudulent conduct that may result […]
Posted in Industry, Top | Tagged Cryptocurrency, NASAA, Sweep
By Securities Docket on October 26, 2012, 11:31 am
Enforcement actions against investment advisory firms by state securities regulators nearly doubled to 399 in 2011.