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2004 News Releases November 19, 2004
Commission Penalizes Insurance Agent and Former Stockbroker For Selling Unregistered Securities
October 15, 2004
Commission Clamps Down on Unregistered Sales, Obtains Resolution and Settlement for Retired Couple
August 19, 2004
Commission Halts Securities Offering Before It Spreads, Sanctions Scottsdale Man for Unregistered Sales
August 19, 2004
Commission Issues Default Order Against Group that Bilked Over $2.3 Million from Investors
July 1, 2004
Investor Alert: Regulators Release Updated Top 10 List of Scams, Schemes, & Swindles
June 25, 2004
Commission Sanctions Individuals and Companies for Selling Unregistered Securities
May 28, 2004
Glendale Man Ignores Commission Order, Faces Securities Fraud and Contempt Charges
May 20, 2004
Scottsdale Man Promotes Unregistered GPS Stock, Surrenders License
May 7, 2004
Commission Penalizes Mesa Insurance Agent for Selling Unregistered Pay Telephone Contracts
April 15, 2004
Commission Targets GPS Stock Offering - Penalizes Gilbert Man for Sales of Unregistered Pay Telephone Contracts
April 5, 2004
Educating Investors Focus of April Savings & Investing Month Campaign
April 5, 2004
Commission Encourages Investors to Participate in Savings & Investing Month
March 18, 2004
Commission Continues to Crack Down on Unregistered Pay Telephone Investment Contract Sales - Two Women Agree to Pay Penalties and Return Commissions
January 30, 2004
Commission Approves Final Analyst Conflict Settlement Agreement - Citigroup to pay Arizona $2.37 Million
January 30, 2004
Commission Revokes License of Convicted Felon, Sanctions Others for Unregistered Securities Sales 2005 News Release December 22, 2005
Investor Alert: Do Homework Before Investing in 529 College Savings Plans
December 14, 2005
Investor Alert: Check Credentials of "Senior Specialists"
December 5, 2005
Washington Salesman Defrauds Scottsdale Client
Ameriprise Financial Services Agrees to $1 Million Fine for Inadequate Compliance Policies, Procedures
November 18, 2005
Commission Takes Action with Other Law Enforcement Agencies, Three Glendale Individuals and their Businesses Charged with Securities Fraud
November 4, 2005
Mesa Investment Group Bilks $8.5 Million from Investors
October 21, 2005
Fraud Surfaces in Mexican Resort Stock Offering and Northern Arizona Oil and Gas Wells Venture
September 27, 2005
Commission Bars Unregistered Mexican Gold Mine Offering, Sanctions Sun City Insurance agent and Peoria Man for Unregistered Securities Sales
September 1, 2005
Beware of Hurricane-Related Scams, Regulators Warn
August 19, 2005
Commission Denies Investment Adviser Application, Penalizes Others for Unregistered Securities Sales
July 8, 2005
Unscrupulous Activity with Real Estate Investments Results in Commission Orders
June 10, 2005
Commission Orders Stop to Unregistered Investment Sales and $10.5 Million to Restore Investors
April 26, 2005
Commission Pulls License of Securities Salesman for Unscrupulous Conduct in Another State
April 25, 2005
Commission Approves Twelfth Analyst Settlement, Thomas Weisel Partners to Pay Arizona $79,064
April 11, 2005
Commission Encourages Investors to Particpate in Savings & Investment Month
April 6, 2005
Commission Names Top 10 Threats to Investors
March 25, 2005
Unregistered Promissory Notes in Auto Leasing Companies is Focus of Commission Orders
March 8, 2005
Casino Revenue and Water Rights Investments Under Scrutiny, Commission Charges Tucson Man with Securities Fraud
February 28, 2005
Two Insurance Agents and Dot.Com Promoter Agree to Pay Penalties and Return Investor Funds
February 24, 2005
Commission Approves Deutsche Bank Settlement Agreement, Arizona to receive $454,619
February 15, 2005
M.A.C.Investment Sales Ordered to Halt Offering, ACC Alleges Multiple Violations of Securities Laws
January 27, 2005
Former Insurance Agent Defrauds Investors, Stockbroker and Others Agree to Commission Orders
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