‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInNASAA Names New General Counsel
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.
Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-asset Investment Products — SEC
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 […]
State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown – NASAA
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 […]
Enforcement Actions Against Advisors Nearly Doubled: NASAA
Enforcement actions against investment advisory firms by state securities regulators nearly doubled to 399 in 2011.