Securities Division
This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers. Working in close cooperation with the National Association of Securities Dealers and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.
Stanford Financial Group Updates
The Louisiana Office of Financial Institutions (LOFI) has been actively seeking a time frame for the release and/or transfer of any brokerage accounts held at Stanford Group Company (SGC) and/or any trust accounts at Stanford Trust Company (STC) that do not contain or hold Stanford-related assets and therefore should be deemed to be outside the Receivership. The LOFI has also been working closely with other state and federal regulatory agencies in an effort to identify and resolve issues relating to various Stanford-related companies operating here in the United States.
Click here for Stanford Receiver’s web page. Clients and investors may also direct questions to the Receiver via email to info@stanfordfinancialreceivership.comWilliam Chaucer Arrested for Alleged Ponzi Scheme
November 20, 2009Consent Order Issued to Hugo Edgardo Urrea
for Acting as an Unregistered Investment Advisor
September 22, 2009
Top Ten Investor Traps
Chaucer Financial Update
September 9, 2009
Final Rules
Compensatory Benefit Plan Exemption
Third-Party Solicitor Exemption
Effective Oct. 20, 2008
Lehman Brothers, Inc. Broker-Dealer Firm may be acquired
by Barclays Capital, Inc.
Securities Industry Closure Notice
Hanover Investment Securities Placed into Liquidation
Cease
and Desist Order against
Matthew Pizzolato
and Gulf Region Guaranty Recalled