News & Analysis as of

Fraud North American Securities Administrators Association

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Fox Rothschild LLP

NASAA Adopts New Franchise Questionnaire Policy

Fox Rothschild LLP on

As expected, the North American Securities Administrators Association (NASAA) announced last week that it voted to adopt a “Statement of Policy Regarding the Use of Franchise Questionnaires and Acknowledgements” (NASAA...more

Allen Matkins

Looking For Cryptocurrency In All The Wrong Places . . .

Allen Matkins on

Last Friday, the Department of Financial Protection & Innovation issued a warning about "romance scams and cryptocurrency".  This warning is similar to one issued this month by the North American Securities Administrators...more

Whitman Legal Solutions, LLC

Evaluating Real Estate Investments -- Identifying Fraud

Many years ago, a lovely older couple (I’ll call them Chris and Jamie) came to my office seeking advice about a failed real estate investment. Hoping to improve on the low interest rate offered by their bank, they had...more

Goodwin

State and Federal Regulators Coordinate Efforts to Combat Crypto Fraud

Goodwin on

This past week was a busy one for state securities regulators, the CFTC and the SEC as they continue their focus on rooting out fraud from the digital currency space and crypto- and blockchain-based ventures. Noteworthy...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 8, Issue 7

LIBOR: The End Game - Since the announcement on July 27, 2017 by the UK Financial Conduct Authority (the FCA) that the LIBOR rate would be phased out after 2021, much has been written about the complications of switching...more

Broker-Dealer Compliance + Regulation

NASAA Survey Finds Seniors Are Most Vulnerable to Financial Fraud

On August 21, 2017, the North American Securities Administrators Association (“NASAA”) released a survey on senior citizens and financial exploitation. The survey of the state securities regulators highlighted, among other...more

Morrison & Foerster LLP - JOBS Act

NASAA’s Perceived Threats

In its annual list of risks posed to investors and small businesses, NASAA once again identifies private offerings. NASAA notes that “[f]raudulent private placement offerings continue to rank as the most common product or...more

Allen Matkins

California Bill Aims To Promote Green Energy Investment Scams

Allen Matkins on

“Today I’d like to tell you a little bit about the color green . . .” Green energy is popular. That popularity makes not just likely, but inevitable that promoters will use the cachet of green energy to attract and...more

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