2011 News Releases

October 11, 2011
Commission Halts Unregistered Oil and Gas Investment Program, Penalizes Gilbert Promoter

September 29, 2011
Investor Alert:  Self-directed IRAs and the Risk of Fraud

September 6, 2011
Commission Sanctions Two Phoenix Businessmen for Investment Frauds Totaling $1.78 Million

August 11, 2011

Commission Sanctions Stockbroker, Former Stockbroker and Phoenix Businessman for Fraud, Also Encourages Investors to Ask and Check Before They Invest

June 16, 2011
Commission Extinguishes Unregistered Offerings Before Investors Get Burned, Sanctions Others for Fraud, Also Issues Warning About Private Securities Offerings

May 4, 2011
Commission Sanctions Two Insurance Producers for Peddling an Unregistered Forex Investment Program, Also Urges Caution about "Education" at Free-Meal Seminars

April 12, 2011
Commission Thwarts Fraudulent Sales of Unregistered Investments Totaling $8 Million, Also Revokes License-Registration of Investment Adviser-Stockbroker, Denies Application
March 16, 2011
Commission Continues to Shutter Unregistered Real Estate Investments, Also Halts Fraudulent Sales of Brokered CDs Targeting Seniors, Shuts Down Unregistered Gold-Silver Mining Venture
Commission Orders Restitution for Over 100 Investors Defrauded by Unregistered Investment Programs, Most Involving Real Estate
January 27, 2011
Commission Urges Caution for Gold Investors