5/4/2012 New Hampshire Bureau of Securities Regulation Announces "Con Artist" Investor Education Program 
 

4/25/2012 Schoolcare Agrees To Return $8.5 Million To Members 
 

3/26/2012 Primex Agrees to Return Minimum of $16 Million to Members 
 

3/16/2012 Keene Securities Broker’s License Revoked Based on Allegation of Elder Exploitation 
 

2/1/2012 Oppenheimer to Pay $155,000 for Illegal Sale of Penny Stocks at Portsmouth Office 
 

1/9/2012 Securities Firm Sanctioned for Unsolicited Calls to NH Investors 
 

10/20/2011 Former Portsmouth Securities Broker Barred from Future Activity in New Hampshire 
 

10/19/2011 NH Securities Bureau and Insurance Department Take Action Against MetLife Agent 
 

10/4/2011 Bedford Firm Target of Securities Bureau Action 
 

8/23/2011 UBS to Pay $1 Million Under Consent Order With NH Securities Bureau Based on Sale of Lehman Investments 
 

6/14/2011 Investigations of Pooled Risk Management Programs 
 

6/9/2011 NH Securities Bureau: Initiates Action Against Oppenheimer & Co. 
 

5/20/2011 NH Securities Bureau: Information on LGC Investigation Important to Public 
 

5/11/2011 NH Securities Bureau Says LGC Should Return Millions to Cities and Towns 
 

12/30/10 N.H. Securities Bureau Issues Recommendations On Appropriate Reserves For Pooled Risk Programs 
 

11/19/10 Bureau Of Securities Issues Statement Of Policy Regarding Promissory Notes 
 

11/15/10 N.H. Securities Bureau Identifies Top Ten Investor Traps 
 

10/28/10 N.H. Bureau Of Securities Regulation Issues Report On Investigation Of Local Government Center 
 

10/26/10 N.H. Bureau Of Securities Regulation Urges Caution For Investors Mining For Golden Opportunities 
 

10/5/10 N.H. Securities Bureau Signs Consent Order With UBS 
 

4/22/10 Report Of The Bureau Of Securities Regulation's Review Of Financial Resources Mortgage, Inc. And Related Matters 
 

4/15/10 N.H. Securities Bureau Issues Consent Order On UBS And State Student Loan Program 
 

8/18/09 Top 10 Investor Traps 
 

8/17/09 Investment Settlements Offer Relief To New Hampshire Investors 
 

6/11/09 State and Federal Regulators To Rein In Risk 
 

6/3/09 N.H. Securities Regulators File Action Targeting UBS Sales Practices 
 

5/14/09 New Investor Education For Unemployed Citizens 
 

12/29/08 Fraudsters Target Sandwich Generation Investors 
 

11/3/08 New Hampshire Announces IARD System Fee Waiver 
 

10/14/08 New Hampshire And AARP Team To Offer "Free Lunch Seminar Monitor" Program 
 

9/9/08 Bureau of Securities Regulation Resolves Amends Filing Against UBS, Alleges UBS Violated Fiduciary Duty 
 

8/14/08 NH Securities Bureau Takes Action Against UBS 
 

7/7/08 New Hampshire Gov. Lynch Signs Senior Investor Protection Legislation Into Law 
 

6/17/08 N.H. Securities Regulators Identifies Traps Likely To Burn Investors This Summer 
 

5/12/08 N.H. Securities Regulation Launches Program To Help Law Enforcement Investigate Investment Fraud 
 

5/7/08 State and Federal Regulators and AARP NH Caution Seniors About Investor Fraud 
 

4/22/08 Securities & Exchange Commissioner Casey To Deliver Keynote Address At Senior Fraud Seminar 
 

4/9/08 Ameriprise Settles Securities Violations With State 
 

4/3/08 State Securities Regulator Slams Federal Report 
 

4/2/08 NH Bureau of Securities Regulation, SEC and AARP NH Bring Senior Fraud Seminar to the Seacoast 
 

11/08/07 N.H. Securities Bureau And U.S. Commodity Futures Trading Commission Partner In Fraud Case Federal Court Imposes Over $20 Million In Fines 
 

10/22/07 N.H. Securities Bureau Takes Second Enforcement Action Against Ameriprise Financial 
 

8/30/07 N.H. Securities Regulators Identify Top 10 Traps Facing Investors In 2007 
 

4/24/07 NH Bureau of Securities Regulation, SEC and AARP Bring Senior Fraud Seminar to North Country 
 

4/18/07 Securities Bureau Urges Senior Investors To Be Aware Of Scams 
 

1/8/07 National Securities Regulators Present Annual Award To New Hampshire Director 
 

11/01/06 Three Former U.S. Ambassadors To Take Part In Unusual Panel On Corporate Responsibility 
 

10/24/06 SEC, N.H. Bureau Of Securities Regulation And AARP To Present Elder Fraud Seminar 
 

10/10/06 NH  Securities Bureau Resolves Action Against ING 
 

6/9/06 NH Securities Bureau Files Against ING 
 

5/3/06 Myron Kandel To Moderate Panel On Future Of Business In New Hampshire 
 

3/15/06 University Of New Hampshire Hosts Corporate Responsibility Initiative's Kick-Off Event 
 

12/14/05 Myron Kandel, Founding Financial Editor Of CNN, To Lead NH Initiative On Corporate Governance 
 

12/12/05 Regulators Urge Investors To Carefully Check Credentials Of "Senior Specialists" 
 

7/12/05 American Express Financial Advisors Reach Settlement With New Hampshire Bureau Of Securities Regulation 
 

6/16/05 Federal Commodity Regulator And State of New Hampshire Bring Sales Fraud Claims Against Florida Trading Firm Cromwell Financial Services, Inc. And Others 
 

4/7/05 NH Securities Bureau Reaches Settlement With Morgan Stanley For $435,000.00 
 

3/25/05 NH Dept. of Securities Regulation Names Top Ten Threats To Investors 
 

2/18/05 NH Securities Bureau Takes Action Against American Express Financial Advisors 
 

1/26/05 NH Securities Bureau Suspends Florida Company's License 
 

12/16/04 Securities Exchange Commission and NH Securities Regulators Announce Settlement with Pennichuck Corporation 
 

9/30/04 NH Securities Regulators Warn Investors of Ongoing Voice Message "Wrong Number" Scam 
 

8/26/04 New Hampshire To Receive $337,500 In Settlement With Deutsche Bank Securities And Thomas Weisel Partners 
 

8/25/04 NH Securities Bureau Requests Clarification From Google 
 

6/23/04 NH Securities Bureau Takes Action Against Morgan Stanley 
 

2/05/04 New Hampshire Securities Regulators Join SEC and New York Attorney General's Office in $225 Million Settlement with Massachusetts Financial Services 
 

11/5/03 Unsuitable Investments Cited in Settlement with Florida Brokerage Firm 
 

9/10/03 Center For Public Responsibility And Corporate Citizenship Established As A Result Of Tyco Settlement 
 

9/05/03 New Hampshire Securities Regulators Warn Seniors to be on the Lookout for Investment Fraud 
 

7/15/03 NH Securities Regulators Oppose Effort By Congressional Panel To Limit State’s Authority To Deter Fraud 
 

4/30/03 NASAA - CSA Securities Regulators Unveil Fraud Awareness Quiz
                    Quiz (English version)       Quiz (French version)
 

4/28/03 NH To Receive $4 Million In Wall Street Settlement 
 

3/13/03 State Securities Regulators Warn Investors Of Oil And Gas Schemes 
 

8/07/02 NH Securities Bureau Broadens Its Investigation Of Tyco International 
 

7/18/02 State Reaches Record Securities Settlement With Merrill Lynch Regarding Unlawful Broker Activity