Maryland Securities Laws Information Center The Maryland securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Maryland securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Maine Securities Laws Information Center The Maine securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Maine securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Louisiana Securities Laws Information Center The Louisiana securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Louisiana securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Kentucky Securities Laws Information Center The Kentucky securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Kentucky securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Kansas Securities Laws The Kansas securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Kansas securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Iowa Securities Law The Iowa securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Iowa securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Indiana Securities Laws The Indiana securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Indiana securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
FINRA, Illinois bar David Hackney, former broker with LPL. On June 23, 2015 the state of Illinois, through its Secretary of State’s Securities Division published a consent order revoking David Hackney’s securities salesperson and investment advisor registrations, and permanently barred him from selling securities in the state of Illinois. The…
Thomas Hayes, former broker with Bosc sued by Bernalillo County over bond portfolio losses. On November 20, 2014 the state of New Mexico’s Securities Division issued an opinion and notice of contemplated action against Thomas Hayes, a former registered representative with Bosc, Inc., as well as Bosc, Inc. for making…
John Waszolek charged by Arizona Corporation Commissioner. On July 8, 2016 the Corporation Commissioner for the state of Arizona, acting through the Securities Division charged John Waszolek, a former registered representative with Morgan Stanley and Raymond James with violations of the Securities Act of Arizona, specifically section 44-1801. The Securities…