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The North American Securities Administrators Association
("NASAA") identified recent enforcement trends in an
annual summary of enforcement actions.
In the 2018 Enforcement Report, NASAA highlighted that in
2017:
roughly 8,000 complaints were received and approximately 5,000
investigations initiated;
almost $486 million was returned to investors; and
coordinated enforcement efforts served to maximize NASAA's
collective ability to protect the investing public.
Further, NASAA identified a large increase in enforcement
actions against unregistered individuals and firms and that seniors
remained a primary target of investment fraud. NASAA also noted an
increase in enforcement focus on suspect initial coin offerings and
other investments involving cryptocurrencies.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
