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North American Securities Administrators Association

Securities Regulators Issue Warning- Oil & Gas Investment Fraud

Securities Regulators Issue Warning- Oil & Gas Investment Fraud 150 150 Rex Securities Law

The North American Securities Administrators Association (NASAA) was formed in 1919 and is comprised of  the state securities regulators. NASAA has issued a warning to investors regarding oil & gas…

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LPL Financial-Growth Causing Growing Pains-Trouble With Securities Regulators

LPL Financial-Growth Causing Growing Pains-Trouble With Securities Regulators 150 150 Rex Securities Law

The New York Times today reported that LPL Financial, an independent broker/dealer with over 13,000 brokers, 6,500 offices and 4.3 million customers is having more and more problems with securities…

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LPL Financial REIT Problem Triggers Compliance Changes

LPL Financial REIT Problem Triggers Compliance Changes 150 150 Rex Securities Law

Update 2/7/2013: LPL settled the case over the improper sale of REITs for a $500,000 fine and restitution of $2 million. More details on that settlement here. As we previously…

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E*Trade Establishes Hotline for Auction Rate Securities Investors

E*Trade Establishes Hotline for Auction Rate Securities Investors 150 150 Rex Securities Law

 The North American Securities Administrators Association (NASAA) announced establishment of  a toll-free hotline and website  to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC. Regulators and…

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